Contemporary Society_An Introduction to Social Science.Perry2016.14e

什么是宪法？

What Is a Constitution?

The Constitution of the United States

美国宪法

联邦制

Federalism

宪法限制和义务

Constitutional Limits and Obligations

联邦制如何发挥作用

How Federalism Has Worked

集中化趋势

Trend toward Centralization

联邦政府的影响

The Impact of the Federal Government

权力分立

Separation of Powers

制衡机制如何运作

How Checks and Balances Work

对三权分立的批判

Criticism of the Separation of Powers

总统职位：行政部门

The Presidency: The Executive Branch

总统的本质

The Nature of the Presidency

总统的角色

The Roles of the President

国会：立法部门

Congress: The Legislative Branch

代表权问题

The Issue of Representation

国会委员会

Congressional Committees

国会的从属作用

The Subordinate Role of Congress

最高法院：司法部门

The Supreme Court: The Judicial Branch

法院系统

The Court System

司法系统的职能

Functions of the Judicial System

有限政府的重要性

The Importance of Limited Government

Chapter 16

We the People: Democracy in Action

美国民主

American Democracy

美国是如何治理的？

How Is America Governed?

Conflict and Consensus

现实的民主

A Realistic Democracy

利益集团

Interest Groups

利益集团的功能

Functions of Interest Groups

利益集团的形成与发展

Formation and Growth of Interest Groups

游说者

Lobbyists

政治行动委员会

Political Action Committees

利益集团的明显缺陷

Obvious Shortcomings of Interest Groups

政党

Political Parties

政党宗旨

Purpose of Political Parties

政党的职能

Functions of Political Parties

美国政党制度的特点

Features of the American Party System

解除结盟还是重新结盟？

Dealignment or Realignment?

政党制度的衰落

The Party System in Decline

美国：红色和蓝色？

America: Red and Blue?

竞选成本高昂

The High Cost of Campaigning

表决

Voting

影响投票率的因素

Factors in Voter Turnout

不投票者

The Nonvoters

美国投票的特点：选举团制度

Peculiarities of American Voting: The Electoral College

政治观点的形成

Political Opinion Making

公众和政治观点

Public and Political Opinion

Chapter 17

The Economy: Concepts and History

经济制度

The Economic Institution

经济决策

Economic Decision Making

经济基本要素

Basic Elements of the Economy

生产要素

Factors of Production

经济选择和机会成本

Economic Choices and Opportunity Costs

产出限制：生产可能性边界

Limits to Output: The Production Possibilities Frontier

劳动专业化

Specialization of Labor

贸易、易货和货币

Trade, Barter, and Money

当代经济体系：如何做出选择

Contemporary Economic Systems: How Choices Are Made

历史视角下的西方经济学

Western Economies in Historical Perspective

资本主义的诞生

The Birth of Capitalism

工业资本主义的方方面面

Aspects of Industrial Capitalism

产业组织的公司形式

The Corporate Form of Industrial Organization

从竞争到广告

From Competition to Advertising

多样化和跨国主义

Diversification and Multinationalism

工业社会中的工作本质

The Nature of Work in the Industrial Society

The Corporate Bureaucracy

The American Labor Movement

集体谈判

Collective Bargaining

当今的劳工运动

The Labor Movement Today

工会主义的衰落

Decline of Unionism

美国劳工与全球经济

American Labor and the Global Economy

第18章

经济行为原理：微观经济学和宏观经济学

Chapter 18

Principles of Economic Behavior: Microeconomics and Macroeconomics

小图景与大图景

The Small Picture and the Large Picture

Who Participates in the Economy?

Equilibrium and Price Elasticity

宏观视角

A Macroview

公共利益：社会经济目标

The Public Interest: Socioeconomic Goals

充分就业

Full Employment

理想的产出组合

Desirable Mix of Output

高收入和公平分配

High and Equitably Distributed Incomes

合理的价格稳定

Reasonable Price Stability

充足的增长

Adequate Growth

公共政策工具：财政和货币

Instruments of Public Policy: Fiscal and Monetary

价格和就业稳定器的作用

The Function of Price and Employment Stabilizers

联邦预算

The Federal Budget

财政决策

Fiscal Decision Making

Economic Problems and Government Response

萧条或严重衰退

Depression or Severe Recession

过度需求与通货膨胀

Excessive Demand and Inflation

通货膨胀和失业

Inflation and Unemployment

Chapter 19

Nation among Nations: Perspectives on International Relations

国家与民族

The State and the Nation

国际体系的参与者

Participants in the International System

Other Ways of Classifying States

富国与穷国

Rich Nations, Poor Nations

国家间互动

Interaction among Nations

理论观点

Theoretical Perspectives

现实主义

Realism

当代观点

Contemporary Perspectives

The Competition of Objectives

实现目标的手段：外交政策

Means of Achieving Goals: Foreign Policy

力量

Power

美国外交政策目标

Goals of American Foreign Policy

外交政策决策的类型

Types of Foreign-Policy Decisions

意识形态和道德在外交政策中的作用

The Role of Ideology and Morality in Foreign Policy

外交政策中的道德

Morality in Foreign Policy

谁制定外交政策决策？

Who Makes Foreign Policy Decisions?

外交政策工具

Tools of Foreign Policy

Diplomacy and Diplomats

条约与联盟

Treaties and Alliances

均势体系

The Balance-of-Power System

双极系统

The Bipolar System

一个新的多极世界

A New Multipolar World

西我们很高兴出版该教材的第十四版，我们希望新老用户都会同意，它的长寿表明该教材符合教师和学生的需求。

We are pleased to publish the fourteenth edition of this text, and we hope that both new and previous users will agree that its longevity is an indication that the text conforms to the needs of both instructors and students.

本书面向的是社会科学课程，面向具有不同教育背景和需求的大学新生。课程本身并非面向计划专攻某一特定社会科学的学生，而是为有意攻读其他领域的学生提供社会科学的概述。因此，此类课程的教材必须提供社会科学学科如何感知和诠释我们周围世界的全景或广阔视野。教材不应沉溺于细节，也不应过多地引用参考文献和定义。教材不应过早地提供过多内容。最重要的是，教材不应提供简单的清单，而应提供完整的社会科学世界观。

The course in Social Science, for which this book is intended, is directed at entering college students with different educational backgrounds and needs. The course itself is not meant for those who plan to specialize in a specific social science. Rather, the course is designed to offer an overview of the social sciences for those students who intend to specialize in other fields. A textbook for such a course, therefore, must offer a panorama, or a wide view, of how the social science disciplines perceive and interpret the world around us. The text should not be mired in details or be overly weighted down by references and definitions. It should not offer too much too soon. Above all, it should not present a list, but an integrated social science view of the world.

在《当代社会》第十四版中，我们保留了文本的基本大纲，因为我们相信章节的顺序合理且不言自明。我们将讨论宗教和教育这两个关键机构的章节合并在一起。

In this fourteenth edition of Contemporary Society, we have retained the basic outline of the text because we believe that the chapters flow in a rational, self-explanatory order. We have combined the chapter dealing with the pivotal institutions of religion and education.

这本书也更轻了，因为它不再包含“盒子”。“盒子”虽然很有趣，也增加了章节的分量，但由于互联网的普及，人们很容易在网上阅读任何想读的内容。事实上，我们增加了大量的网站，应该能吸引学生拓宽他们对人类处境的视野。

The book is also lighter because it no longer contains Boxes. The latter were interesting and contributed heft to the chapters, but with the ubiquitous nature of the Internet, it is very easy to read everything one wants online. We have, in fact, added a plethora of Web sites that should tempt students to widen their outlook on the human condition.

我们纳入了天文学和古人类学领域的最新发现，这些知识非常重要，因为它们为理解宇宙和人类的年龄提供了新的视角。我们还涉及许多其他当代问题：人类基因组研究；克隆和干细胞应用的伦理考量；竞选改革；总统权力；美国第一位非裔美国人当选总统；美国选民明显的分歧以及随之而来的极端保守运动的出现；中东战争及其后果；美国经济的衰退以及尽管经济好转但仍将导致一些工作岗位流失的事实；全球变暖；恐怖主义；全球经济；贫富差距的扩大；移民；教育问题；以及美国的宗教地位。

We have included the most recent findings in the areas of astronomy and paleoanthropology, knowledge that is important because it throws new light on the age of the universe and of humans. We also touch on many other contemporary issues: the research on the human genome; the ethical considerations around the issues of cloning and stem cell use; campaign reform; presidential power; the election of the first African American to the presidency of the United States; the perceived divisions of the American electorate and the consequent emergence of ultraconservative movements; the wars and their consequences in the Middle East; the downturn in the American economy and the fact that some jobs will be lost in spite of its upturn; global warming; terrorism; the global economy; the rising inequality in wealth and incomes; immigration; problems in education; and the status of religion in the United States.

我们还收录了大量学生可能感兴趣的网站。这些网站既出现在章节内，也出现在章节末尾。我们鼓励教师向学生指出这些网站，因为有些网站可以大大加深学生的理解和常识，有些则充满幽默感。

We have also included a large number of Web sites that may be of interest to students. These appear both within chapters and at the end of chapters. We urge instructors to point them out to students because some could add much to the students’ understanding and general knowledge, and some provide a bit of humor.

本书的焦点依然集中在变革上，这是我们这个时代普遍存在的现实。我们试图阐明这样一个观点：从工业秩序向后工业秩序的转型充满困难，正如之前从农业秩序向工业秩序的转型一样。社会秩序日益碎片化，导致人们远离社区，没有共同目标，走向冲突和不团结，这一框架就体现了这一点。

The focus of the book remains centered on change, which is the pervasive reality of our era. We try to bring home the idea that the transition from an industrial to a postindustrial order is fraught with difficulties, as was the previous transition, from an agricultural to an industrial order. The increasing fragmentation of the social order, which leads people away from community and a common purpose toward conflict and disunity, is shown in this framework.

选修社会科学课程的学生或许会疑惑，熟悉社会科学是否能帮助他们解决生活中的问题。当然，无论是个人问题还是社会问题，教育本身都并非灵丹妙药。但寻求理性的解决方案，学会看清先入之见和偏见的本质，并认识到无需诉诸暴力或自我毁灭行为即可实现积极变革的可能性，这些都足以证明我们有必要从社会科学的角度来阐述这一观点。如果学生们意识到他们不必接受世界现状，而是能够采取行动使其变得更好，并且社会科学能够为他们提供一些变革的工具，那么我们就算是成功了。

Students who enroll in a social science course may well wonder whether familiarity with the social sciences will help them solve life’s problems. Of course, education in general has not proved to be a panacea either for personal or for social problems. But the search for rational solutions, learning to see preconceptions and prejudgments for what they are, and seeing the possibility of working for positive change without having to resort to violent or self-destructive behavior are sufficient justification for presenting a social science perspective. We will consider ourselves successful if students become aware that they need not accept the world as it is but can act to change it for the better, and that the social sciences can provide them with some of the instruments of change.

最后，任何一本书的问世都离不开编辑、图片研究员和其他支持人员的悉心照料和持续监督。我们向他们致以最诚挚的谢意。

Finally, no book can see the light of day without the TLC and constant supervision of editors, photo researchers, and other support personnel. To them, we extend our sincerest thanks.

约翰·A·佩里和埃尔娜·K·佩里

John A. Perry and Erna K. Perry

Through the Lens of Science

通过科学的视角

在本章中，你将学习

IN THIS CHAPTER, YOU WILL LEARN

• 我们所继承的外部世界和我们所创造的社会世界的存在；

• of the existence of the external world, which we inherit, and the social world, which we create;

• 利用科学工具分析社会世界是一项相当新的创新；

• that the analysis of the social world with the tools of science is a fairly recent innovation;

• 社会科学和自然科学之间的基本区别；

• the basic differences between the social and the natural sciences;

• 哪些学科构成社会科学；

• which disciplines constitute the social sciences;

科学方法的要素和步骤；以及

• the elements and steps of the scientific method; and

• 社会科学中所使用的各种研究方法。

• the various research methods used in the social sciences.

左自诞生以来，我们星球上的生命经历了巨大而剧烈的变化，既包括我们诞生的自然世界，也包括我们创造并赖以生存的社会世界。我们所说的自然世界和社会世界究竟指什么呢？显然，所有生物在诞生之初就进入了一个并非它们自身创造的物质世界。动植物要么适应这个现成的环境，要么灭绝。它们无法改变其栖息地的性质，因为地球上所有生物都生活在一个由各种力量塑造、受各种规律支配的环境中，而这些规律我们对其的理解只是部分且不完全，并且极难改变或控制。早期人类并不理解这个世界，因此他们将许多现象归咎于神灵和超自然存在。如今，人们通过生物学、物理学、化学、生态学等学科的科学方法来研究自然世界。这些学科被称为自然科学或精密科学，并不属于本文的探讨范围。

Life on our planet has undergone tremendous and dramatic changes since its beginning, both in the natural world into which we are born and the social world we have created and in which we live. What do we mean by the natural and the social worlds? Clearly, at birth all living things enter a physical world that is not of their own making. Plants and animals either adapt to this ready-made environment or die out. They cannot change the nature of their habitat, for on planet earth all living organisms exist in an environment shaped by forces and governed by laws that are only partially and imperfectly understood and only minimally amenable to change or control. Early humans did not understand this world, so they attributed many phenomena to spirits and supernatural beings. Today, the natural world is studied by the methods of science in such disciplines as biology, physics, chemistry, ecology, and so on. These disciplines are the so-called natural or exact sciences and are not within the realm of our inquiry in this text.

然而，每个新生的人类也进入了一个由先前出生的人塑造并不断被新生代重塑的社会世界。尽管大多数人认为这个社会世界的存在是理所当然的，但它对人类来说却至关重要。它使人类区别于其他动物。除了某些生物适应新环境或气候（有时会导致其灭绝）之外，动物自出现之日起就保持着基本不变的生活方式。而人类则不断操纵着自己的社会世界，甚至极大地影响着自身的生活方式。这个社会世界并非总是被人们所理解，但在过去200多年里，各学科已经……其初衷是用与精确科学相同的科学方法来研究它。这些学科统称为社会科学。

Each newly born human being, however, also enters a social world that has been shaped by those born previously and is continually reshaped by each new generation. The existence of this social world, although taken for granted by the majority of people, is of seminal importance to humans. It is what distinguishes them from other animals. Animals, aside from certain biological adaptations to new environments or climates (adaptations that sometimes lead to their extinction), retain an essentially unchanged lifestyle from the moment of their emergence. Humans, on the other hand, have manipulated their social world to the point of affecting their own lifestyles dramatically. This social world was not always well understood either, but in the past 200-plus years, disciplines have originated with the goal of examining it with the same scientific methodology that the exact sciences use. These disciplines are collectively called the social sciences.

社会科学诞生于动荡时期，当时新的思想和信仰在欧洲社会引发了冲突和分裂。它们代表着一种尝试，即试图理解那些用旧工具难以把握的现实。它们带来了一种希望，即社会世界——人们的生活方式——也能被以一种冷静客观的方式审视。人们希望这种审视能够为人们提供具体的行为准则，以改善他们的个人和集体生活。

The social sciences were born in a period of turmoil, when new ideas and beliefs were causing conflict and fragmentation in European societies. They represented an attempt to make sense of a reality that had become too difficult to grasp with the old tools. They offered the hope that the social world—the way people live—could also be examined in a dispassionate, objective way. It was hoped that such an examination would yield specific rules of behavior for people to follow to improve their individual and collective lives.

或许人们对社会科学的期望过高：尽管付出了巨大的努力，却鲜有宏大的理论被发展，也鲜有社会生活的秘密被揭开。即便如此，社会科学及其方法论仍然是理性审视我们社会世界的有效工具，或许也是独一无二的工具。我们是否有必要审视我们身处的这个社会世界？当然。因为我们是理性的生物，我们渴望了解哪些规律支配着我们的生活，无论是在自然环境中，还是在我们所栖息的社会世界中。

Perhaps the expectations for the social sciences were too high: despite efforts, few grand theories have been developed or secrets of social life uncovered. Nonetheless, the social sciences and their methodology remain effective—and probably unique—tools for rationally examining our social world. Is there a need to examine this social world in which we exist? Definitely. Because we are rational beings, we want to know which laws govern our lives, both in the natural and the social worlds we inhabit.

社会科学

The Social Sciences

社会科学的目的是系统地研究人类状况和人类行为的各个方面，并尽可能借鉴物理科学的方法。这种对系统性和方法论的坚持，正是社会科学区别于哲学、艺术和文学的根本原因，而这些学科也同样对人类状况的各个方面进行评论和反思。艺术家、诗人和哲学家运用直觉、想象力、权威、传统、理性思维和常识等工具来表达他们对人类行为的洞察。这些工具我们每个人都可以使用，并且每天都在使用它们。

The purpose of the social sciences is to study systematically all aspects of the human condition and of human behavior, using a methodology borrowed from the physical sciences wherever possible. This insistence on systematic and methodical study is what distinguishes the social sciences from philosophy, art, and literature, disciplines which also comment and reflect on all facets of the human condition. Artists, poets, and philosophers express their insights into human behavior by availing themselves of such tools as intuition, imagination, authority, tradition, rational thought, and common sense. These tools are available to all of us and we use them every day.

不幸的是，这些工具存在一个重大缺陷：它们并非总是准确透彻，而且常常受到个人或社会信仰和偏见的影响。几个世纪以来，人们一直认为地球是平的，人可能会从地球边缘掉下去。如果仅凭肉眼观察，这种推论是合理的。地球是宇宙的中心，太阳绕着它旋转，这也是一个公认的观点。当能够测量和观察超越人类感官的仪器被发明出来时，那些被奉为真理的知识需要被修正，而这并非没有经过斗争。波兰天文学家尼古拉·哥白尼（1473-1543）和意大利天文学家伽利略·伽利莱（1564-1642）试图说服他们的同胞地球绕着太阳转，而不是太阳绕着地球转，结果遭到排斥，甚至差点丧命。这些新知识挑战了亚里士多德和天主教会等权威人士的古老信仰。这两位天文学家并不单单相信自己的感官，而是试图利用一种新的探究工具——科学——来寻找真相。

Unfortunately, these tools have a major shortcoming: they are not always accurate and thorough, and they are often colored by individual or societal beliefs and prejudices. For centuries people believed that the earth was flat, and one could fall off its edge. That was a reasonable deduction if one used only one’s eyesight. It was also an accepted belief that the earth was the center of the universe and the sun went around it. When instruments were invented that could measure and see beyond the human senses, the knowledge that had been accepted as truth needed to be modified, and that did not happen without a fight. The Polish astronomer Nicolaus Copernicus (1473–1543) and the Italian astronomer Galileo Galilei (1564–1642) were ostracized and nearly lost their lives when they tried to convince their compatriots that it was the earth that circled the sun, not the other way around. The new knowledge challenged the ancient beliefs of authorities such as Aristotle and the Catholic Church. These two astronomers had not trusted their senses alone, but attempted to arrive at the truth by using a new tool of inquiry: science.

透过科学的视角看社会世界

The Social World Seen Through the Lens of Science

科学可以简单地定义为一种运用理性探究体系的方法，该体系依赖于对事实的实证检验。正是这种方法，而非特定的内容体系，赋予了科学家独特的观察事物的视角。科学方法的目的是获取可验证且可重复的证据。即使是最显而易见的“事实”，科学也不会做出任何评判，除非最初的假设得到确凿的证据支持。

Science may be briefly defined as a method using a system of rational inquiry dependent on the empirical testing of facts. It is this method, rather than a particular body of content, that gives scientists a unique way of looking at things. The purpose of the scientific method is to obtain evidence that is verifiable and subject to replication. Science makes no judgment about even the most seemingly obvious “facts” until original suppositions are overwhelmingly supported by proof.

图 1.1科技不断进步！社会科学家又多了一个工具——无处不在的计算机——帮助他们研究即使在最偏远的社会中人们是如何互动的。

IMAGE 1.1 Technology marches on! Social scientists have another tool at their disposal—the ubiquitous computer—to help them in researching how people interact even in the remotest societies.

图 1.2意大利天文学家兼数学家伽利略·伽利莱建造了最早的望远镜之一，这幅图展示了它。他用这台新工具观察夜空后，提出了地球绕太阳旋转的理论，而不是当时普遍认为的太阳绕地球旋转。如今，社会科学也试图破除一些广为流传但却不正确的观念。

IMAGE 1.2 Galileo Galilei, an Italian astronomer and mathematician, built one of the earliest telescopes, which he is showing in this drawing. Having looked at the night sky with this new tool, he theorized that it was the earth that moved around the sun and not the other way around, as was commonly believed in his time. Today, the social sciences also attempt to dispel some widely held, but incorrect, beliefs.

社会科学的出现源于一些哲学家决心运用科学方法研究人类行为的特定方面。最初，所谓的社会哲学与一般哲学并无太大区别。十八世纪，也就是通常所说的启蒙运动时期，盛行的思想导致社会哲学被划分为若干独立的学科。这一历史时期的特点是人们对理性力量的信仰日益增强。学者和哲学家们开始坚信，正如自然科学家运用科学方法发现了普遍的自然规律一样，如果能用同样的方法研究人类行为，类似的规律也会变得显而易见。他们推测，一旦揭示了社会生活的原则，就能实现一个更加完美的社会。

The social sciences emerged when a number of philosophers determined to use the scientific method to study specific aspects of human behavior. Initially, the so-called social philosophy differed little from philosophy in general. Ideas prevalent in the eighteenth century, during the era commonly called the Enlightenment, led to the division of social philosophy into a number of separate disciplines. This historical period was characterized by an increase in people’s faith in the power of reason. Scholars and philosophers became convinced that just as universal laws of nature had been discovered by natural scientists through the use of the scientific method, similar laws would become apparent if human behavior could be examined by the same approach. Once the principles of social life were uncovered, they theorized, a more perfect society could be attained.

剧烈的社会变革促使人们需要一种新的方法来分析人类社会行为。工业革命和人口向城市迁移带来的环境条件改变了社会，也带来了许多新的问题。首先，工业的兴起导致了两个新的社会阶层的出现：制造机器的所有者和操作机器的产业工人。这两个社会阶层的生活水平存在巨大差异。工人们在艰苦的条件下长时间工作，并且经常被解雇。越来越多的人涌入城市寻找工厂工作，城市变得拥挤不堪，卫生条件恶劣。很快，贫困和犯罪随之而来。

The need for a new approach to the analysis of human social behavior was prompted by dramatic societal changes. The conditions brought about by the Industrial Revolution and the movement of people to cities led to changed societies and many new problems. For one thing, the rise of industry resulted in the emergence of two new social classes: the owners of manufacturing machinery and the industrial workers who operated it. There were vast discrepancies in the standards of living between these two social classes. The workers labored for long hours in difficult conditions and suffered frequent layoffs. More people moved to cities in search of factory jobs, and cities became places in which overcrowding and lack of hygiene were rampant. Soon, poverty and crime followed.

正因如此，社会科学家才想要解决这些问题，他们认为可以通过将科学方法应用于人类行为来解决这个问题。于是，社会科学应运而生。这些学科包括文化人类学、经济学、地理学（包括人口统计学和生态学）、政治学、心理学、社会学，以及那些超越严格叙事的历史学领域。

This is why social scientists wanted to solve these problems, and they thought they could do so by applying the scientific method to human behavior. So arose the social sciences. These include cultural anthropology, economics, geography (including demography and ecology), political science, psychology, sociology, and those dimensions of history that go beyond the strictly narrative recounting of events.

当今社会科学研究什么？众多经济学家开展研究，试图解释经济如何运作。是什么导致了美国和世界经济的崩溃？是什么导致了失业？为什么特定行业或经济领域的工人会失业？增税对经济有何影响？对个人又有何影响？减税是否每个人都会受益？

What do the social sciences study today? Numerous economists produce studies that try to explain how economies work. What caused the meltdown of the American and world economies? What produces unemployment? Why do workers experience the loss of jobs in specific industries or segments of the economy? What is the effect of an increase in taxes on the economy? On individuals? Does everyone benefit when taxes are cut?

社会学家调查了四年制大学和两年制大学学生的收入水平。哪些学生从这些学校毕业，哪些学生辍学？原因是什么？这究竟是金钱问题，还是其他原因？（Stephan, Rosenbaum & Person，2010）。

Sociologists inquire into the income level of students who attend a four-year university and those who attend a two-year school. Which students graduate from these schools, and which drop out? Why? Is it a matter of money or are other issues involved? (Stephan, Rosenbaum, & Person, 2010).

社会学家和人口统计学家研究老年移民。他们发现，这些移民往往生活在与世隔绝的环境中。他们的年幼子女能够融入美国社会，但父母和祖父母却无法做到。他们通常不会说英语，许多人甚至不会开车。他们感到被排斥，陷入抑郁。这类研究一旦公开，就会促使社会机构提供帮助（Brown，2009）。

Sociologists and demographers study elderly immigrants. They note that they often live in conditions of isolation. Their young children assimilate and accommodate themselves to American society, but parents and grandparents cannot. They generally do not speak English, and many do not drive. They feel rejected and become depressed. Such research, when it is made public, activates social agencies into offering help (Brown, 2009).

社会学家、心理学家和经济学家经常合作设计研究。是什么激发了人们购买特定产品的冲动？当人们决定花钱时，大脑的哪个部分会活跃？(Tierney, 2007, D1)。当人们为特定的行为和信念给出理由时，会发生哪些社会互动？(Gladwell, 2006, 80)。

Sociologists, psychologists, and economists often cooperate in designing studies. What produces the urge to buy a specific product? Which part of the brain is active when a person decides to spend money? (Tierney, 2007, D1). Which social interactions go on when people give themselves reasons for specific behavior and beliefs? (Gladwell, 2006, 80).

犯罪学家运用社会学、心理学、人类学等多种社会科学学科，研究导致犯罪行为的因素、累犯率、监狱对囚犯的影响以及许多其他问题。精神病学家和心理学家为各种犯罪的受害者（尤其是强奸和绑架受害者）提供了帮助，帮助他们重新融入社会。

Criminologists, who use a number of social science disciplines—sociology, psychology, anthropology—study conditions leading to criminal behavior, recidivism rates, the effect of prison on inmates, and many other issues. Psychiatrists and psychologists have been helpful to victims of a variety of crimes, particularly rapes and kidnappings, aiding in their readjustment to society.

考古学家不断发现化石，向我们讲述自然界的变化。他们还发现了一些没有留下文字记录的古代社会遗迹，让我们得以了解文化的重要发展历程。

Archaeologists continually find fossils that tell us about changes in the natural world. They also discover remains of past societies that have left no written records, enabling us to see the important progression of culture.

图 1.3考古研究包括许多脏活，研究人员需要挖掘和筛选多层，才能找到为人类历史提供线索的化石。

IMAGE 1.3 Archaeological research includes much dirty work as researchers dig and sift through many layers to find the fossils that provide clues to the history of the human race.

iStock：© cafaphotos

iStock: © cafaphotos

最后，社会科学正日益与精确科学相结合，在医学和气候领域取得新发现，这些发现最终将影响并可能造福人类和社会。社会认知神经科学研究基因如何影响行为（利用生物信息），反之亦然，研究社会行为如何以基因变化的形式影响生物学。

Finally, the social sciences are increasingly combining with the exact sciences to discover findings in the areas of medicine and climate, findings that eventually affect and possibly benefit people and societies. The disciplines of social cognitive neuroscience study the way genes influence behavior—using biological information—and vice versa, how social behavior affects biology—in the form of genetic changes.

科学方法

The Scientific Method

在定义社会科学时，要记住的关键是，它们系统地、有条理地研究数据。换句话说，它们使用科学方法。这种方法同时采用定性和定量方法，定性方法描述、定义并关注意义，定量方法则侧重于计数和测量现象。

In defining the social sciences, the key to remember is that they study data systematically and methodically. In other words, they use the scientific method. This method uses both qualitative and quantitative approaches, the one describing, defining, and concerned with meanings, the other focusing on counting and measuring phenomena.

对社会世界进行科学审视需要运用概念、理论和研究。然而，社会科学学科不可能采用与自然科学或物理科学完全相同的方法论；但所有学科都共享科学方法。科学方法的基本技术是一种特殊的观察，称为科学观察。这种观察不同于简单地环顾四周。我们这些能够运用视觉的人一直在观察事物，但很少得出科学结论。我们从感官中获取证据，但这种证据并不总是可靠的。科学观察必须系统地进行：科学家必须选择并定义一个问题，然后制定一个有组织的计划来收集数据。科学观察必须准确、精确；科学家必须对收集到的数据进行仔细的检查、复查和交叉检验，以及仔细的测量。科学观察应该在受控条件下进行；具体特征环境的某些因素应保持不变，这样当其他因素发生变化时，研究人员就能确定哪个具体原因决定了哪个结果。这一要求在社会科学中很难实现，因为对人的研究并不总是在实验室中进行。即使在自然科学中，控制也具有挑战性，因为许多现象只能在远处观察。最后，科学观察必须由训练有素的观察者进行。只有这样的人知道哪些数据是相关的，哪些数据只是边缘重要。再说一遍，科学词汇包括概念、理论和研究。

Subjecting the social world to scientific scrutiny involves the use of concepts, theories, and research. However, social science disciplines cannot employ exactly the same methodology as the natural or physical sciences do; but all disciplines share the scientific method. The basic technique of the scientific method is a special kind of observation called scientific observation. This kind of observation differs from simply looking around. Those of us who have the use of our vision look at things all the time, but we seldom arrive at scientific conclusions. We obtain evidence from our senses, but such evidence is not always reliable. Scientific observation must proceed systematically: scientists must select and define a problem and then make an organized plan for collecting data. Scientific observation must be accurate and precise; scientists must subject collected data to careful checking, rechecking, and cross-checking, as well as to careful measurement. Scientific observation should take place under controlled conditions; particular features of the environment should remain constant, so that when other features change, researchers can be sure which specific cause is determining which effect. This requirement is difficult to achieve in the social sciences because research on people cannot always be performed in a laboratory. Control is challenging even in the natural sciences, because many phenomena can only be observed at a distance. Finally, scientific observation must be made by a trained observer. Only such a person knows which data are relevant and which are only peripherally important. To repeat, then, the vocabulary of science includes concepts, theories, and research.

概念

Concepts

概念是概括的、抽象的观念，用来象征整个类别的人、事物和过程。它们是对同一类别的事物进行分类的方法。例如，“椅子”的概念涵盖了所有供人坐的物品，尽管这类物品种类繁多，从镀金的路易十四古董到镀铬乙烯基的厨房用具。概念用于简化人们的思维和交流方式。社会、国家、艺术、教育和投票只是概念的一些例子。

Concepts are generalized, abstract ideas that symbolize whole categories of people, objects, and processes. They are ways of classifying things that are in the same category. For instance, the concept of “chair” includes all those objects made for people to sit on, although there is an infinite variety of such objects, from gilded Louis XIV antiques to the chrome-and-vinyl kitchen variety. Concepts are used to simplify the way people think and communicate. Society, nation, art, education, and voting are only some examples of concepts.

社会科学家使用概念来概括人类互动的某些方面。他们试图解释和分析现实。概念是社会科学的专业词汇，其精确含义可能与普遍理解的含义大相径庭。

Concepts are used by social scientists to generalize about some aspects of human interaction. They try to interpret and analyze reality. They are the technical vocabulary of the social sciences, and they have precise meanings that may differ considerably from the generally understood versions.

理论

Theories

理论是概念和概括的集合，其排列方式旨在解释和预测现象之间可能存在的关系。在社会科学中，理论是行为原则的表述，科学家试图通过这些原则来增进对人类互动方式的了解。理论运用概念来观察和分析现实。没有理论，知识的积累就不可能实现，正如没有概念，理论的形成就不可能实现一样。

Theories are sets of concepts and generalizations so arranged that they explain and predict possible relationships among phenomena. In the social sciences, theories are formulations of principles of behavior through which scientists try to increase their knowledge of how humans interact. Theories use concepts to observe and analyze reality. Without theories, the accumulation of knowledge would be impossible, just as the formulation of theories would be impossible without concepts.

理论并不具备定律的效力。定律是对事件之间不变关系的解释。根据万有引力定律，在给定条件下，物体总是朝同一方向下落。社会科学没有定律，因为它们研究的是人，而不是无生命的物体，而人的智慧和意志不受不变定律的约束。如果有新的证据挑战理论，理论随时可能被改变，甚至被彻底否定。最后，当人们在日常对话中提到“理论”时，他们的意思只不过是猜测。在科学术语中，理论更有分量，因为它基于支持性证据。

A theory does not have the force of a law. A law is an explanation of unchanging relationships among events. According to the law of gravity, an object always falls in the same direction under given conditions. The social sciences have no laws because they deal with people rather than with inanimate objects, and people have intelligence and will that are not subject to unchangeable laws. Theories are always open to change and even to total rejection if new evidence is presented to challenge them. Finally, when people speak of “theory” in casual conversation, they mean nothing more than a guess. In scientific terminology, a theory carries much more weight because it is based on supporting evidence.

研究

Research

研究可以检验并支持或驳斥理论。研究可以定义为在受控条件下进行的系统的科学探究，通过仔细观察数据来确定一个因素（例如收入）与一个或多个其他因素（例如育儿技巧）之间的关系。

Research tests and bolsters, or refutes, theories. Research may be defined as systematic scientific inquiry conducted under controlled conditions in which data are carefully observed for the purpose of determining the relationship between one factor (for example, income) and one or more other factors (for example, child-rearing techniques).

变量。社会科学家试图揭示其相互关系的因素被称为变量。这些特征会因人而异（变化），因人而异，因群体而异，因时间而异，因地点而异，因情境而异。年龄、教育程度、收入、宗教信仰和政治立场是社会科学研究中最常用的变量。社会科学家通常使用统计方法来确定特定案例中变量的值。

Variables. The factors whose relationship social scientists try to uncover are called variables. These are characteristics that differ (vary) in each individual case—from person to person, from group to group, from time to time, from place to place, and from situation to situation. Age, education, income, religion, and political affiliation are some of the most frequently used variables in social scientific research. Social scientists use measurements, usually of a statistical nature, to determine the value of a variable in a specific case.

在社会科学中，变量用于揭示一种现象的变化如何解释另一种现象的变化。变量有两种：独立变量和因变量。独立变量会对因变量产生影响。变量之间的关系可能是因果关系，在这种情况下，独立变量是原因，而因变量是其结果。变量之间的关系也可能是相关的，这意味着两个或多个变量只是以某种方式相关。相关性和因果关系是不同的现象，不应混淆。相关性纯属偶然发生，变量会一起变化，而因果关系则是一个现象导致另一个现象。有时，两个或多个变量之间的相关性被证明是虚假的，这意味着它是错误的 - 实际上这种关联是由科学家甚至没有考虑过并且不打算衡量的另一个因素引起的。因此，必须谨慎控制科学研究。变量必须明确陈述并可衡量；变量之间的关系必须同样清晰且可衡量；并且所遵循的假设（变量是相关的）必须是可检验的（Hoover & Donovan，1995，35）。

Variables are used in the social sciences to uncover how change in one phenomenon can explain change in another one. Variables are of two kinds: independent or dependent. Independent variables are those that exert influence on dependent variables. The relationship between variables may be one of cause and effect, in which case the independent variable is the cause, and the dependent variable receives its effect. The relationship between variables may also be one of correlation, meaning that two or more variables are simply related in some way. Correlation and causation are distinct phenomena and should not be confused. Correlation occurs purely by chance and the variables change together, whereas in causation, one phenomenon is responsible for another. Sometimes the correlation among two or more variables turns out to be spurious, meaning that it is false—that in reality the association is caused by another factor that scientists have not even considered and did not intend to measure. It is, therefore, imperative that scientific research be carefully controlled. Variables must be clearly stated and must be measurable; the relationship between variables must be equally clear and measurable; and the pursuant hypothesis (that the variables are related) must be testable (Hoover & Donovan, 1995, 35).

科学方法的步骤

Steps of the Scientific Method

如图 1.1所示，科学方法的步骤可以概括如下。

The steps in the scientific method, illustrated in Figure 1.1, may be summarized as follows.

选择和定义主题。首先，研究人员必须明确研究对象。研究主题通常源于好奇心，因此往往以问题的形式提出。例如，第一代移民的子女是否比本土出生公民的子女更容易实现社会向上流动？研究人员还应明确是否存在因果关系（一个变量导致另一个变量的发生）。由于证明因果关系并区分原因和结果较为困难，研究人员通常仅满足于证明两个或多个现象之间存在相关性。

Selecting and Defining a Topic. First, an investigator must have a clearly defined idea of what should be investigated. A topic for investigation is usually prompted by curiosity and so it tends to be in the form of a question. For instance, are children of first-generation immigrants more successful in attaining upward mobility than children of native-born citizens? The researcher should also specify whether a causal relationship is suspected (one variable causing the occurrence of another). Because it is difficult to prove causal relationships and distinguish cause from effect, researchers are often satisfied with proving that a correlation between two or more phenomena exists.

文献综述。选定主题后，研究人员必须查阅所有现有文献，以确保该主题尚未被研究过。如果已经研究过，研究人员可能需要调整主题，或许可以重点研究之前未曾研究过的一个方面。文献综述是科学方法中的重要一步。它将新旧研究联系起来，积累研究成果，并引导科学家找到正确的研究变量。计算机使书籍和文章的审阅工作比过去节省了大量时间。

Reviewing the Literature. After selecting the topic, the researcher must review all the existing literature on the subject to ensure that it has not already been investigated. If it has, the researcher might have to alter the topic, perhaps focusing on a facet of it that has not been investigated previously. A review of the literature is an important step in the scientific method. It connects new research with old, allows the accumulation of ideas, and directs scientists to the right variables to pursue. Computers make the job of reviewing books and articles much less time consuming than it was in the past.

形成假设。假设是对选定主题的初步陈述，需要进行测试和验证。假设必须以清晰的表达方式预测两个或多个变量之间的关系。假设可以基于研究人员的直觉或有根据的猜测；例如，研究人员可能推测宗教会影响一个人的投票方式。科学方法的其余步骤可能会证明该假设有效（是的，宗教会影响投票行为），可能会导致其被重新表述（是的，但前提是选民处于特定年龄段），或者可能完全推翻该假设（不，宗教与投票行为无关）。假设也可能源于常识推论、好奇心或传统智慧；它可能源于现有理论和先前的研究；也可能源于对研究人员感兴趣问题的文献综述。

Forming a Hypothesis. The hypothesis is a tentative statement of the selected topic that is subject to testing and verification. The hypothesis must, in clearly expressed terms, predict a relationship between two or more variables. Hypotheses may be based on a researcher’s mere hunch or educated guess; for instance, a researcher may speculate that religion influences the way a person votes. The remaining steps of the scientific method may prove the hypothesis valid (yes, religion affects voting behavior), may cause it to be reformulated (yes, but only if the voter is in a specific age bracket), or may contradict it altogether (no, religion has nothing to do with voting behavior). A hypothesis may also derive from commonsense deductions, curiosity, or traditional wisdom; it may emerge from existing theories and previous research; or it may originate from a review of the literature on an issue that interests a researcher.

制定研究设计（收集、分类和分析数据）。在提出假设后制定的研究计划必须明确从哪些群体收集数据以及以何种方式收集数据。还必须确定如何以最佳方式获取数据（直接观察、问卷调查、访谈或多种研究方法相结合）。

Developing a Research Design (Collecting, Classifying, and Analyzing Data). The research plan that is developed after the hypothesis is stated must specify from what group(s) and in what manner data are to be collected. Decisions must also be made about how best to obtain the data (direct observation, questionnaires, interviews, or a combination of research methods).

科学方法的步骤

The Steps of the Scientific Method

图 1.1科学包括获取信息的方法。因此，所有科学学科的科学家都必须严格、客观地遵循科学方法的步骤。

FIGURE 1.1 Science includes the method by which information is obtained. Scientists in all scientific disciplines, therefore, must follow the steps of the scientific method with rigor and objectivity.

系统地收集数据后，研究人员必须对其进行分类、整理和记录。数据还必须公开，以便其他人能够获取研究结果和研究过程。在大多数科学学科（包括社会科学）中，计算机都用于对数据进行分类和整理。

After data have been systematically collected, the researcher must classify, organize, and record them. Data must also be made public so that others may have access to both the findings and the procedures. In most scientific disciplines, including the social sciences, computers are used to classify and organize data.

然后对数据进行分析。在这一步中，研究人员将先前分类的数据运用各种统计方法，以检验相关性是显著的，还是微乎其微以至于可能只是偶然的。统计计算可以确定数据是否支持假设。

The data are then analyzed. In this step, the researcher subjects the previously classified data to various statistical methods to see whether relationships are substantial or so small that they may be due to chance. Statistical computation determines whether the data support the hypothesis.

验证。由于大多数研究都容易出现错误——研究人员可能意识到也可能没有意识到——科学方法的另一个重要步骤是验证。这一步重复研究是指重复研究项目（复制），可以由进行原始研究的科学家完成，也可以由其他科学家完成。研究必须能够被其他科学家重复并获得相同的结果，才被认为是成功的。

Verifying. Because most research is subject to error—of which the researcher may or may not be aware—another important step in the scientific method is verification. This step consists of repeating the research project (replication) and may be done either by the scientist who conducted the original research or by another scientist. For research to be considered successful, it must be capable of being repeated by another scientist with the same results.

概括。最后，必须从数据分析中得出结论。数据是否支持原始假设？是否反驳了假设？是否需要对假设进行必要的修改？谨慎的研究人员往往会进行概括不足的分析，这可能会使其研究成果对他人无用。过度自信的研究人员往往会进行过度概括，这可能导致错误的假设和错误的结论。

Generalizing. Finally, conclusions must be drawn from the analysis of data. Do the data substantiate the original hypothesis? Do they refute it? Are alterations to the hypothesis in order? A cautious researcher tends to make under-generalizations, which may keep his or her research from being useful to others. An overconfident researcher tends to make overgeneralizations, which may lead to false hypotheses and wrong conclusions.

结论通常以报告的形式总结，有时发表在专业期刊或专著中。研究人员试图将结论与现有理论或当前研究联系起来，并就修改某些公认理论假设的必要性或提出研究中出现的新假设的必要性提出建议（图 1.1）。

Conclusions are usually summarized in reports, sometimes published in professional journals or as monographs. The researcher attempts to relate the conclusions to existing theories or current research and makes suggestions about the necessity of altering some accepted theoretical assumptions or the need for new hypotheses that have emerged from the research (Figure 1.1).

科学方法主要采用定量方法。定量研究方法通过测量和统计，寻找现象的解释。这种方法受到许多社会科学家的青睐，因为它客观，并利用数学模型得出可检验的答案。随着计算机技术的出现，测量变得更加便捷，定量研究也变得更加普遍。

The scientific method uses primarily the quantitative approach. The quantitative research approach measures and counts, looking for explanations of phenomena. The approach is favored by many social scientists because it is objective and uses mathematical models to reach testable answers. It has become much more frequent with the advent of computer technology, which facilitates measurements.

定性研究方法也包括收集数据、分析和解释数据，并得出具体结论。然而，这种方法更加主观，因为它依赖于科学家的观察。定性方法定义和描述现象，以寻求更深入的理解。某些问题更适合一种方法，而其他问题则更适合另一种方法。

The qualitative research approach also consists of collecting data, analyzing and interpreting them, and reaching specific conclusions. However, this method is much more subjective because it depends on the observations of the scientist. The qualitative approach defines and describes phenomena, looking for a deeper understanding. Certain issues lend themselves better to one approach, other issues to the other approach.

科学精神：怀疑主义、客观性、相对性

The Scientific Spirit: Skepticism, Objectivity, Relativity

科学方法的根基是一种态度，最好地称之为科学精神。科学精神最重要的原则是，科学家对一切事物都抱有极大的怀疑态度，不将任何事物视为理所当然。即使对于他们自己的发现，也必须展现这种态度，因为这些发现在进一步分析后总会发生变化。

Underlying the scientific method is an attitude best described as the scientific spirit. The most important principle of the scientific spirit is that scientists approach everything with great doubt and skepticism, taking nothing for granted. This attitude must be displayed even with regard to their own findings, which are always subject to change after further analysis.

另一个原则是客观性。科学家在面对旨在支持某一发现的数据时，必须努力完全摆脱个人态度、愿望、信仰、价值观和倾向的影响。他们必须力求保持完全客观，不让任何个人偏见影响他们的判断。当然，这种程度的客观性只是科学家追求的理想状态；没有人能够始终保持客观。客观性问题在社会科学领域尤其具有争议性，因为它研究的是人际关系和行为。

Another principle is that of objectivity. Scientists must try to rid themselves completely of personal attitudes, desires, beliefs, values, and tendencies when confronting data intended to support a finding. They must try to be totally dispassionate, allowing no individual biases to affect their judgment. Of course, such a degree of objectivity is only an ideal to which scientists aspire; no human can be objective all the time. The issue of objectivity has been especially polemical in the social sciences, which deal with the relationships and behavior of people.

与客观性密切相关的是科学精神的第三项原则：伦理中立。根据这一原则，科学家不得对其研究发现做出价值判断；他们不得断言其结论是好是坏、对是错。他们必须只关心研究结果的真伪。

Closely related to objectivity is the third principle of the scientific spirit: ethical neutrality. According to this principle, scientists must not make value judgments about their findings; they must not pronounce their conclusions to be good or bad, right or wrong. They must be concerned only with whether the findings are true or false.

最后，科学结论绝不能被视为最终的、绝对的或普遍的真理。相反，它们应该被视为与得出它们的时间和地点相关，并且始终可能发生变化或修订。

Finally, scientific conclusions must never be considered final, absolute, or universal truths. Rather, they should be considered as relative to the time and place in which they are obtained and always subject to change or revision.

社会科学学科

The Social Science Disciplines

社会科学之间的界限是人为的，因为它们都研究同一个主题：社会环境中的人类行为。然而，每个学科，关注特定环境和行为的特定方面，实际上使社会科学家能够进行专业化研究。社会科学家意识到各自学科的重叠性，并且经常相互借鉴。简而言之，差异在于侧重点的不同。

The boundaries among the social sciences are artificial in the sense that they all study the same thing: human behavior in the social environment. Each discipline, however, focuses on specific facets of that environment and behavior, in effect allowing social scientists to specialize. Social scientists are aware of the overlapping nature of their disciplines, and they often borrow from one another. The differences, in short, are a matter of emphasis.

人类学

Anthropology

人类学将自然科学——生物学——与从社会科学中收集的信息结合起来，以揭示人类生物学特征与社会获得的特征（即通过群居生活）之间的关系。该学科分为体质人类学和文化人类学，前者主要关注人类的生物起源和人类物种的变异，后者传统上研究和比较分析前文字社会。体质人类学家使用遗传学（分析遗传的科学）来试图揭示生物体的基因如何决定其后代的特征。遗传学对社会科学家特别有用，因为他们试图解开人类行为有多少是后天习得的，有多少是遗传的复杂问题。体质人类学分为三个经常重叠的分支：古人类学，研究人类和相关物种的化石；灵长类动物学，研究灵长类动物；遗传学，研究现代人类的变异和适应性。

Anthropology combines a natural science—biology—and information gathered from the social sciences to uncover the relationships between human biological traits and traits acquired socially, that is, by living in groups. The discipline is divided into physical anthropology, which is concerned principally with human biological origins and the variations in the human species, and cultural anthropology, which has traditionally dealt with the study and comparative analysis of preliterate societies. Physical anthropologists use genetics, the science that analyzes heredity, in an attempt to uncover how the genes of living organisms determine the characteristics of their offspring. Genetics is particularly useful to social scientists as they try to untangle the complex issue of how much of human behavior is learned and how much is inherited. Physical anthropology is divided into three branches that frequently overlap: paleoanthropology, meaning the study of fossils, of human and of related species; primatology, or the study of primates; and genetics, or the study of modern human variability and adaptability.

文化人类学关注人类文化的方方面面：亲属关系形式、语言学、物质制品、经济结构、音乐和民俗。如今，文化人类学家往往会研究当代社会中的亚群体，并将其方法应用于新的情境。例如，考察大都市地区的同性恋群体，或描述妓女或无家可归者的生活方式，都是文化人类学家可以开展的研究。

Cultural anthropology concerns itself with all facets of human culture: kinship forms, linguistics, material artifacts, economic structures, music, and folklore. Cultural anthropologists today are likely to include the study of subgroups within contemporary societies and apply their methodology to new settings. An examination of the gay and lesbian community in a large metropolitan area, for instance, or a description of the lifestyles of prostitutes or of the homeless are examples of studies that could be carried out by cultural anthropologists.

人类学还包括考古学领域，该领域致力于发掘人类及其他物种的骨骼化石和文物，以提供有关古代社会的年代和历史数据，这些社会既包括没有留下书面记录的社会，也包括记录可能已丢失或不完整的社会。人类学概念用于描述人类的生理发育，并描绘其主要特征——文化。

Anthropology also includes the field of archaeology, which is concerned with unearthing fossilized bones and artifacts of humans and other species to furnish dates and historical data about past societies, both those that left no written records and those whose records may have been lost or are incomplete. Anthropological concepts are used to describe the physical development of humans as well as to delineate their chief feature, which is culture.

经济学

Economics

经济是人类的一种制度，即一种根深蒂固的习惯，人们试图通过这种习惯在资源匮乏的情况下维持生存。经济学是一门研究社会为实现这一目标而构建的制度的学科。经济学家试图理解人们在维持生活所必需的商品和服务的生产、分配和消费过程中的活动。他们考察劳动、自然资源以及作为交换媒介的货币的价值；他们定义供给与需求、储蓄与投资、成本与价格以及经济波动的概念；他们描述政治体系用来证明其商品和服务分配方式合理性的原则。

The economy is a human institution, that is, an ingrained habit through which people have attempted to facilitate their survival in the face of scarcity of resources. Economics is the discipline that studies the systems that societies construct to help them in this endeavor. Economists attempt to understand the activities of people in the production, distribution, and consumption of goods and services necessary to sustain life. They examine the value of work, of natural resources, and of money as a medium of exchange; they define the concepts of supply and demand, savings and investments, cost and price, and economic fluctuations; and they describe the principles used by political systems to justify their methods of distribution of goods and services.

经济学试图解释一些社会过程（例如“谁得到什么以及为什么”），一些社会问题的起源（例如贫困），工作作为身份来源的重要性，职业地位，生活水平的提高或下降，期望值上升的影响等等。

Economics attempts to explain some social processes (such as “who gets what and why”), the origins of some social problems (such as poverty), the importance of work as a source of identity, occupational status, increases or decreases in the standard of living, the effects of rising expectations, and so on.

经济学家也利用了许多理论——古典主义、新古典主义、凯恩斯主义、货币主义等等——这些理论将在接下来的章节中讨论。许多网站对这些理论及其拥护者进行了清晰的描述。

Economists, too, have availed themselves of a number of theories—classical, neoclassical, Keynesian, monetarist, and others—that will be addressed in upcoming chapters. A number of Web sites offer clear descriptions of both the theories and the scholars who espoused them.

地理

Geography

地理学主要是一门自然科学，研究我们居住的星球，即陆地、水体、山脉、山谷、植被类型和动物栖息地。这些学科属于自然地理学的范畴，其知识主要来源于天文学、植物学、生态学、地球化学、地质学、气象学、海洋学等学科。然而，地理学也关注人们利用自然环境的方式：为什么他们在某些地方定居，哪些类型的土地适合农业，哪些适合采矿，人们选择哪些交通路线以及原因，以及人们在哪里建立工业中心。这些问题属于人文/文化地理学的范畴，依赖于从人类学、历史学、政治学、心理学、社会学、城市研究等社会科学中获得的信息。

Geography is primarily a natural science concerned with the planet we inhabit, that is, the land, bodies of water, mountains, valleys, types of vegetation, and animal habitats. These subjects are in the area of physical geography, which draws most of its knowledge from the disciplines of astronomy, botany, ecology, geochemistry, geology, meteorology, oceanography, and so on. However, geography is also concerned with the ways in which people use the natural environment: why they settle in some locations rather than others, which types of land are good for agriculture and which for mining, what routes of transportation people choose to follow and why, and where people establish their industrial centers. These matters are in the realm of human/cultural geography and depend on information obtained from such social sciences as anthropology, history, political science, psychology, sociology, urban studies, and so on.

地理学衍生出的几门学科对社会科学尤为重要。人口统计学是研究人口的学科，包括人口规模的增减、构成、年龄分组以及未来趋势。生态学是研究所有生物与其自然环境之间关系的科学，包括生物多样性，即研究物种的多样性和相互依存关系。地理学及其相关领域在网上有清晰的描述；在国家地理网站上可以找到许多与地理问题相关的链接。

Of special importance to the social sciences are several disciplines that are offshoots of geography. Demography is the study of populations, including increases and decreases in size, composition, age grouping, and future trends. Ecology is the science that studies the relationship between all living organisms and their natural environment. It includes biodiversity, or the study of the variety and interdependence of species. Geography and its related fields are clearly described online; many links to geographical issues may be found at the National Geographic Web site.

历史

History

历史学并非普遍被认为是一门社会科学，因为它的主要目标是为子孙后代记录人类事件。事实上，历史学家通常无法运用科学方法。然而，这门学科确实试图系统地研究一系列相关事件（或多个此类事件），以了解、验证并建立它们之间的有意义关系。由于历史学提供了系统地研究人际关系的背景，因此它可以被视为一门社会科学。历史事实穿插在社会科学各个方面的讨论中，因为如果不参考过去，就不可能解读现在并推测未来。www.history.com网站提供了大量历史信息链接，并展示了正在形成的历史。

History is not universally considered a social science because its primary objective is to record human events for future generations. In fact, historians often cannot use the scientific method. The discipline, however, does attempt to study systematically a sequence of related events—or a number of such sequences—for the purpose of learning about, verifying, and establishing meaningful relationships among them. Because history provides a context in which to study human relationships systematically, it may be considered a social science. Historical facts are interspersed in discussions of every facet of the social sciences because it is impossible to interpret the present and speculate about the future without reference to the past. The www.history.com Web site offers numerous links to historical information, as well as presenting history in the making.

政治学

Political Science

政治学主要关注的是权力的研究。这门学科探究一个机构维持秩序、做出决策和提供防御的必要性。它还分析该机构所采取的形式和出现的过程。这门学科包括国家、政治、权力和意识形态等概念。从历史上看，政治学具有很强的哲学、法律和行政倾向。最近，这门学科转向社会科学，关注政府及其运作对社会中个人和群体的影响。国际关系是政治学的一个重要组成部分，它试图揭示世界各国之间的行为模式。密歇根大学网站包含大量关于这个主题的资源，用谷歌搜索“政治学”将得到数千个信息链接。

The chief concern of political science is the study of power. The discipline probes the need for an institution to maintain order, make decisions, and provide for defense. It also analyzes the forms the institution takes and the processes that emerge. The discipline includes such concepts as the state, politics, power, and ideology. Historically, political science has had a strong philosophical, legal, and administrative orientation. More recently, the discipline has taken a turn toward the social sciences in that it is concerned with the effect of government and its processes on individuals and groups in society. An important part of political science is international relations, which tries to uncover patterns of behavior among the nations of the world. The University of Michigan Web site contains a wealth of resources on the subject, and googling “political science” will result in thousands of informative links.

心理学

Psychology

心理学关注塑造和激励个体、形成其心智和个性的力量。这门学科，尤其是其医学形式——精神病学，借鉴自然科学来获取有关人类身体结构、神经系统、身体发育和成熟以及其他身体过程的信息。它借鉴社会科学来研究源于社会互动的行为领域。由于心理学研究的是人类，而人类是生物和社会因素的复杂混合体，因此这门学科范围广泛，是社会科学中最具实验性的学科。心理学家必须熟悉人体生物学以及社会过程及其影响。例如，在试图解释人类脸红的能力时，心理学家必须了解身体如何经历某些由生物学引起的有机变化——血液涌入我们面部和胸部的静脉和毛细血管。他们还必须意识到引发这些变化的社会压力——有人盯着我们看，或者称赞我们，或者相反，在我们渴望尊重的人面前责骂我们。我们感到的尴尬会通过脸红来表达。

Psychology focuses on the forces that shape and motivate individuals, forming their minds and personalities. The discipline, especially in its medical form, psychiatry, draws on the natural sciences for information concerning the physical structure of humans, their nervous system, their physical development and maturation, and other physical processes. It draws on the social sciences for input in the areas of behavior that originate from social interaction. Because psychology deals with human beings, who are complex mixtures of biological and social elements, the discipline is wide ranging and the most experimental of the social sciences. Psychologists must be familiar with human biology as well as with social processes and their effects. For instance, in trying to explain the human capacity to blush, psychologists must understand how the body undergoes certain biologically caused organic changes—blood rushes into the veins and capillaries of our face and chest area. They also must be aware of the social pressures that trigger these changes—someone stares at us, or compliments us, or, on the contrary, scolds us in front of someone whose respect we crave. The embarrassment we feel is expressed by blushing.

社会心理学家专注于研究社会化、情绪、记忆、感知和智力。他们也研究语言习得、动机、学习、适应和适应不良、遗传和环境的影响、问题解决等问题。在线心理学百科全书提供了超过2000个关于心理学主题的链接。

Social psychologists specialize in studying socialization, emotions, memory, perception, and intelligence. They also examine such issues as language acquisition, motivation, learning, adjustment and maladjustment, the effects of heredity and environment, problem solving, and others. The Encyclopedia of Psychology online offers more than 2,000 links on psychological subjects.

社会学

Sociology

社会学是社会科学中最新的一门学科，它在其他社会科学学科建立很久之后才出现。当代社会学可以被定义为对人类社会关系以及此类关系所衍生的所有社会系统的系统性、科学性研究。更通俗地说，社会学是对人类群体互动的研究，或是对人类社会和人类群体行为的科学研究。虽然心理学也分析人类行为，但它的关注点是个体。而社会学的关注点是个体与他人的互动，或在社会环境中的活动。

Sociology is the newest of the social sciences, having emerged long after the other social science disciplines were already established. Contemporary sociology may be defined as the systematic and scientific study of human social relationships and of all the social systems that such relationships engender. In more popular terms, sociology is said to be the study of human groups in interaction, or the scientific study of human society and human group behavior. Although psychology also analyzes human behavior, its focus is the individual. The focus of sociology, on the other hand, is the individual in interaction with others or as he or she moves in the social environment.

图 1.4病人躺在沙发上，治疗师坐在他或她身后，手里拿着笔记本，自西格蒙德·弗洛伊德使用以来，它就成了心理学的象征。它也曾被喜剧演员嘲笑和用作幽默来源。然而，心理学家们会利用许多其他情境来帮助病人。

IMAGE 1.4 The patient on a couch and the therapist sitting behind him or her with a notebook has been a symbol of psychology ever since Sigmund Freud used it. It has also been ridiculed and used as a source of humor by comedians. However, psychologists use many other situations to help patients.

iStock：© 尤里

iStock: © Yuri

直到十九世纪中叶，法国哲学家奥古斯特·孔德在其《实证哲学》（1838 年）中创造了“社会学”一词，研究人类群体的科学才开始兴起。在这篇论文中，孔德否定了权威和推测，主张以系统观察和分类作为所有科学研究的基础。紧随其后的是法国社会哲学家埃米尔·涂尔干。涂尔干通过概述他如何研究自杀，展示了科学方法论在这个新学科中的应用。他通过规划研究设计，收集大量有关多个社会自杀率的数据，并利用这些数据推导出一个理论，该理论表明社会因素——社会动荡条件和人们融入社会秩序的程度——甚至影响诸如自杀这样的个人选择（《自杀》，1897 年）。

The climate for a science to study human groups did not arise until nearly the middle of the nineteenth century, when the French philosopher Auguste Comte coined the name “sociology” in his Positive Philosophy (1838). In this treatise, Comte repudiated authority and speculation in favor of systematic observation and classification as the bases of all scientific inquiry. He was followed most notably by the French social philosopher Emile Durkheim. Durkheim demonstrated the use of scientific methodology in the new discipline by outlining how he studied suicide by planning a research design, collecting masses of data on suicide rates in a number of societies, and using the data to derive a theory suggesting that social factors—conditions of upheaval in society and the extent of integration of people in the social order—affect even such personal choices as committing suicide (Suicide, 1897).

当今，社会学研究的主题种类繁多，尤其是人类群体、组织和机构。该学科关注环境、宗教、政治、经济、越轨行为、犯罪、变化、人口统计、工业、技术、医学、城乡地区等等。它尤其关注复杂工业社会的组织，通过一系列理论模型分析数据和事件。其中最重要的模型是功能主义、冲突理论和符号互动论。此外，社会学也在较新的理论框架内进行研究，例如女权主义、交换理论和后现代主义。大多数社会科学都采用其中的一些理论方法。Sage 出版公司的网站列出了社会学领域阅读次数最多的 50 篇文章。

Today, sociology studies an enormous variety of subjects, in particular human groups, organizations, and institutions. The discipline looks at the environment, religion, politics, the economy, deviance, criminality, change, demography, industry, technology, medicine, urban and rural areas, and so on. It focuses especially on the organization of complex industrial societies, analyzing data and events through a number of theoretical models. The foremost of these models are functionalism, conflict theory, and symbolic interactionism. In addition, research is undertaken within the framework of newer theories, such as feminism, exchange theory, and postmodernism. Most of the social sciences share some of these theoretical approaches. The Web site of the Sage Publishing Company offers a list of the 50 most frequently read articles in sociology.

社会科学研究方法

Research Methods in the Social Sciences

为了寻找有意义的事实来检验和支持他们的假设，从而得出有效的理论，社会科学家使用了许多研究方法（表 1.1）。

In the search for meaningful facts to test and bolster their hypotheses, leading to valid theories, social scientists use a number of research methods (Table 1.1).

这些方法可能是历史性的，也就是说，它们可能包括查阅公共记录、报纸、法典、法庭记录、各委员会会议记录以及公司年度报告等文献。这些方法也可能是比较性的和跨文化的，即对不同社会（或其中的特定部分）进行比较，以追溯文化模式，从而确定其普遍性或独特性（这些方法尤其适用于人类学）。这些方法主要采用定性方法。

These methods may be historical—that is, they may include a perusal of documents such as public records, newspapers, legal codes, court records, minutes of various committees, and annual reports of corporations. The methods may be comparative and cross-cultural, in which comparisons of different societies—or specific segments of them—are made for the purpose of tracing cultural patterns to determine either their universality or their uniqueness (these methods are especially used in anthropology). These methods are predominantly qualitative.

主要的定量方法是数学方法，基于使用数学和统计原理表达思想的复杂计算。社会科学中的数学和定量方法已逐渐普及。在过去的几十年中，计算机已成为社会科学研究的主要工具。通常，会结合使用多种方法和来源：分析公共和私人文件、仔细审查特定历史时期的艺术作品、研究文献以及汇编统计信息（例如出生率和死亡率）。大多数社会科学家回避受个人解读影响的研究方法。他们更喜欢看起来更客观的方法，也就是说，尽可能地避免个人偏见。

The predominantly quantitative methods are mathematical, based on complicated calculations using mathematical and statistical principles to express ideas. The mathematical and quantitative approaches in the social sciences have been gaining ground. In the last several decades, the computer has become a staple in social scientific research. Frequently, a combination of methods as well as sources is used: public and private documents are analyzed, the artistic output of a specific historical period is scrutinized, the literature is studied, and statistical information—birth and death rates, for instance—is compiled. Most social scientists shy away from research methods that are subject to personal interpretation. They prefer methods that appear to be more objective, that is, in which personal biases are kept out as much as possible.

当今社会科学家最常用的研究方法如下。您可以在网上找到所有社会科学研究方法的综合参考书目。

The research methods most commonly used by social scientists today are as follows. A comprehensive bibliography of research methods in all the social sciences can be found online.

抽样调查

Sample Survey

抽样调查研究设计由两个独立的部分组成：样本和调查。研究人员决定研究一个特定的群体，即总体。 一个统计学概念，指所研究现象的总体。该群体可能包括中年专业人士、新登记的选民或就读四年制私立学校的大学生。由于不可能研究所选群体中的每一个个体，研究人员会选择一个统计上有效的样本。有一些程序允许研究人员选择这样的样本。只有当样本真正代表总体时，才能对研究结果进行概括。

The sample survey research design consists of two separate features, the sample and the survey. The researcher decides to study a specific group, which is called the population, a statistical concept referring to the totality of the phenomenon under investigation. The population might consist of middle-aged professionals, newly registered voters, or college students enrolled in four-year private schools. Because it is impossible to study every individual who is a member of the chosen population, researchers select a statistically valid sample. There are procedures that allow researchers to select such a sample. Only if the sample is truly representative of the total population can generalizations about the results of research be made.

表1.1 社会科学研究的常用方法

TABLE 1.1 Common Methods of Social Science Research

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下一步是对样本人群进行调查。调查包括通过问卷调查、个人访谈、统计信息或态度探究等方式收集数据。最重要的是，分析变量之间的关系。如果在特定时间点调查的是广泛人群，则该研究被称为横断面研究。选举前的民意调查就是一个常见的例子。主流杂志和新闻机构会持续进行民意调查，以了解人们对时事的态度。

The next step is to survey the sample population. Surveying involves collecting data by means of questionnaires, personal interviews, statistical information, or probing of attitudes. Most important, relationships among variables are analyzed. If a broad spectrum of the population is being surveyed at a specific point in time, the study is called cross-sectional. Pre-election polls are a familiar example. Major magazines and news organizations are constantly polling people to probe their attitudes on current events.

如果调查持续较长时间，并进行对比和比较，则称为纵向研究。

If the survey continues over a longer period, engaging in contrasts and comparisons, it is referred to as a longitudinal study.

抽样调查是一种实用的研究设计，它对某些调查问题能产生准确的结果，但对其他问题则不然。抽样调查技术相对容易确定事实信息，但在调查态度和观点时，误差幅度较大。

The sample survey is a useful research design, yielding accurate results for some investigative questions but not for others. It is comparatively easy to establish factual information with the sample survey technique, but there is a greater margin for error in surveying attitudes and opinions.

案例研究

Case Study

案例研究设计在需要深入研究特定单位或为了进行比较而研究多个单位时尤其有用。这些单位可以是个人、家庭、退休社区的一群居民、特定公司的员工、宗教运动的成员等等。研究人员必须获得关于所研究单位行为的完整、详细的记录。在案例研究中，调查对象是该单位的全体成员。

The case study research design is especially helpful when it is necessary to study a particular unit in depth or to study several units for purposes of comparison. The unit may be a person, a family, a group of residents of a retirement community, employees of a particular corporation, members of a religious movement, and so on. The researcher must obtain a complete, detailed account of the behavior of the unit under consideration. In the case study, the entire population of the unit is surveyed.

案例研究的价值在于，它们通常能够提出一些假设，然后可以通过其他方法进行检验。当分析的单位相对罕见时，例如一群被洗脑的战俘或一群皈依专制宗教的人，案例研究的价值就更大。案例研究的基本内容已在网上描述。

Case studies are most valuable because they often suggest hypotheses that can then be tested by other methods. They are most valuable when the unit being analyzed is relatively rare, such as a group of brainwashed prisoners of war or a group of converts to an authoritarian religion. The basics of developing case studies are described online.

参与式观察

Participant Observation

在案例研究和抽样调查技术之间，我们发现了一种名为参与式观察的方法。在这种方法中，研究人员试图参与被研究群体成员的生活，尽可能密切地与群体成员交往，并尝试分享他们的经验和生活方式，有时甚至不透露自己的目的。这项由人类学家为研究前文字文化而开发的技术，也被用于分析少数民族和黑人街角文化。

Somewhere between the case study and the sample survey techniques, we find a method called participant observation. Here the researcher tries to take part in the lives of the group members being studied, associating with group members as closely as possible and attempting to share in their experiences and lifestyles, sometimes without revealing his or her purpose. This technique, developed by anthropologists to study preliterate cultures, has also been used to analyze ethnic and black street-corner cultures.

近期出版的一本书就是这种方法的绝佳范例。作者是一位新晋社会学家，她在《逃亡：美国城市的逃亡生活》（On the Run: Fugitive Life in an American City）一书中，深入观察了“刑事司法系统对费城低收入非裔美国人社区日常生活的影响”。正如指导她博士论文的普林斯顿大学教授所说：“这种沉浸感的程度实属罕见。她得以接触贫民窟的生活，并了解到一些我们从未见过的方面。”（Goffman，2014，C1-5）

A recent publication is an excellent example of this method. A newly minted sociologist, the author presents in a book (On the Run: Fugitive Life in an American City) a close observation “of the impact of the criminal justice system on everyday life in a low-income African-American neighborhood of Philadelphia.” As the Princeton professor who supervised her doctoral dissertation says, “The level of immersion is really unusual. She got access to the life of the ghetto and came to understand aspects of it we don’t ever get to see” (Goffman, 2014, C1–5).

参与式观察技术有其缺点。它很大程度上取决于研究人员的个性，研究人员必须与研究对象建立信任和友谊。因此，研究人员可能会过度介入研究对象，从而失去客观性。此外，研究人员还可能过度概括，认为从研究对象群体中获得的结果适用于所有类似的群体。同时，与案例研究一样，这种方法也为研究人员提供了许多有用的见解，这些见解可以在以后通过更定量的技术进行测试和验证。参与式观察的解释和示例可以在网上找到。

The participant observation technique has its shortcomings. Much depends on the personality of the researcher, who must develop trust in, and friendship with, the subjects. Thus, there is the danger of the researcher becoming too involved with the subjects and thereby losing objectivity. There is the danger of overgeneralizing in the belief that the findings obtained from the group studied are true of all similar groups. At the same time, this method, like the case study, has given researchers many useful insights that can be tested and verified later by more quantitative techniques. Explanations and examples of participant observation may be found online.

实验

The Experiment

实验方法应用于所有科学学科。在社会科学中，实验可以在实验室或实地进行。在实验室实验中，研究人员招募志愿者或付费人员作为受试者。科学家进行一系列测试并记录受试者的反应。在实地实验中，研究人员走到人群中，而不是把他们带到实验室。无论是在实地实验还是实验室实验中，研究人员都会控制一个变量（通过设置对照组），并系统地观察和测量结果。每个科学实验都包含以下步骤：(1) 保持除一个变量外的所有变量不变；(2) 改变该变量；(3) 观察结果。

The experimental method is used in all scientific disciplines. In the social sciences, the experiment may take place either in a laboratory or in the field. In the laboratory experiment, people are recruited to serve as subjects who can be volunteers or paid by the researcher. The scientist conducts a number of tests and records the subjects’ responses. In the field experiment, the researcher goes out among the people instead of bringing them to the laboratory. In both the field and the laboratory, one variable is controlled (by setting up control groups), and the results are systematically observed and measured. Every scientific experiment consists of (1) keeping all variables constant except one, (2) changing that one variable, and (3) discovering what happens.

显然，并非所有社会科学学科都能在受控条件下进行实验，而且实验本身也存在缺陷。涉及数千人的大规模实验成本高昂，组织起来也十分困难。必须保障人们的人身安全和尊严。强迫人们成为实验对象是不可能的，而诱骗他们充当实验对象的伦理也同样存在问题。实验对象本身就值得怀疑。最后，当人们意识到自己是实验对象时，他们的行为往往会发生异常。这种倾向可能会破坏实验，使结果无效。当受试者不知道实验的真正目的，但知道正在进行某种类型的实验时，人体实验是最可靠的。然而，即使是无害的欺骗，有时也会导致对结果解释的学术不诚实，因此这种技术并未得到广泛应用。

Obviously, experimentation under controlled conditions is not possible in all social science disciplines and is also subject to shortcomings. Wide-ranging experiments in which thousands of people are involved are very expensive and difficult to organize. The physical safety and the dignity of people must be safeguarded. It is impossible to force people to act as subjects in an experiment, and the ethics of tricking them into acting as experimental subjects are questionable. Finally, when people are aware that they are the subjects of an experiment, their behavior tends to change from the usual. This tendency can ruin the experiment and make results invalid. Experiments on people are most reliable when the subjects are not aware of the true goals of the experiment but do know that some type of experiment is being conducted. Nevertheless, even harmless deception sometimes leads to intellectual dishonesty in interpreting results, and so the technique is not widely used.

统计分析

Statistical Analysis

无论社会科学家采用何种方法收集数据，统计学都是最受青睐的分析方法之一。统计学是一种以数字形式呈现的方法，用于处理研究获得的信息。统计学简化了信息的传递，并帮助研究人员判断其研究的意义。能够清晰地传达信息的统计数据被称为描述性统计数据。描述性统计数据通过计算平均值、中位数和众数来表达一组数据的集中趋势——即典型的趋势。

By whatever method data are gathered by social scientists, one of the most favored manners of analyzing them is with statistics. Statistics are methods in the form of numbers used to process the information obtained by research. Statistics simplify the communication of information and help researchers make decisions about the meaning of their research. Statistics that communicate information in a clear manner are called descriptive statistics. Descriptive statistics convey the central tendency—what is typical—of a group of numbers by calculating the mean, the median, and the mode.

平均值是将所有数字相加，然后除以个案数得出的。这就是老师报告学生平均考试成绩时所做的。如果平均值是 95，则认为该特定群体（学生阶层）的集中趋势是学习非常努力。集中趋势也可以通过中位数来衡量，中位数是分数分布中间的数字（大约一半的学生分数高于中位数，另一半的学生分数低于中位数）。虽然它是最少使用的测量方法，但也可以通过众数来衡量集中趋势，众数是一组数字中出现频率最高的数字 — — 在本例中，众数是最多学生获得的单个分数。

The mean is obtained by adding all the figures and dividing them by the number of cases. This is what an instructor does when she reports on the average exam grade obtained by students. If the mean is 95, it is assumed that the central tendency of that particular population (class of students) is to study very hard. Central tendency can also be measured by the median, which is the number in the middle of the distribution of scores (so that roughly half the students would have higher scores than the median, and half would have lower scores). Although it is the least frequently used measurement, central tendency can be also measured with the mode, the number that appears most frequently in a group of numbers—in this case, the one single score obtained by the largest number of students.

统计学也具有推论性，它为研究人员提供了判断是否能够基于特定样本对特定总体做出有效陈述的技术。现有的统计检验方法可以帮助研究人员计算概率百分比；概率百分比越高，就越能确保某个样本的正确性也适用于总体。选择正确统计分析方法的通用指南可以在网上找到。

Statistics are also inferential, providing techniques researchers use to decide whether they can make valid statements about a specific population based on a particular sample of it. Statistical tests exist that allow researchers to calculate percentage statements of probability; the higher the percentage of probability, the more assurance that what was true of a sample is true of the population at large. General guidelines for choosing the correct form of statistical analysis may be found online.

社会科学中的科学方法

The Scientific Method in the Social Sciences

总而言之，社会科学家可用的研究方法并非百分之百有效或万无一失。在所有科学领域，开展研究都很困难，而社会科学的研究则因主观性、后勤保障、人类行为的不可预测性以及必须控制的大量变量等问题而变得更加困难。

In summary, none of the research methods available to social scientists is 100 percent effective or error proof. Conducting research is difficult in all sciences, but in the social sciences the difficulty is compounded by the problems of subjectivity, logistics, the unpredictability of human behavior, and by the great number of variables that must be controlled.

因此，社会科学家通常会使用任何似乎最符合其研究设计需求的技术。历史研究或印象式研究仍然很流行，它包括根据非正式但连贯且有目的性的指导方针描述和分析观察结果。人口统计学方法也得到了良好的应用。这是人口普查局用来报告人口和城市化趋势的方法。人口统计学家、社会学家和经济学家都会研究人口统计数据，并根据这些数据得出一些结论。理查德·麦克斯韦尔·布朗撰写的关于美国暴力的历史研究《暴力的倾向》（Strain of Violence）的几页内容可以在线阅读（谷歌图书，美国暴力和私刑的历史研究）。

As a result, social scientists often use whatever technique seems to best fit the needs of their research designs. The historical or impressionistic study, which consists of describing and analyzing observations according to informal but coherent and purposeful guidelines, is still popular. The demographic method is also used with good results. This is the method used by the Census Bureau to report population and urbanization trends. Demographers, sociologists, and economists all look at demographic facts and come to some conclusions on what they indicate. A few pages of an historical study of American violence—“Strain of Violence,” by Richard Maxwell Brown—may be viewed online (Google Books, Historical Studies of American Violence and Vigilantism).

需要再次强调的是，尽管运用了科学方法，社会科学家获取可验证数据的难度仍然比物理科学家更大。在实验室中检验化石遗骸与检验人与人之间的关系截然不同。人不仅无法进行许多可以在惰性化石上进行的实验，而且还会引发研究人员的反应，而这些反应化石则不然。研究人员会情不自禁地对人做出反应——他们会觉得一个人讨人喜欢或讨厌，好看或丑陋，聪明或愚笨——但在分析化石时，研究人员甚至不会考虑这些判断。尽管社会科学家希望进一步追求客观性，但他们的结论可能带有偏见。因此，在社会科学中，没有绝对的结论，也没有绝对客观的解释。

It should be stressed again that despite the use of the scientific method, social scientists have more difficulty obtaining verifiable data than do physical scientists. Examining fossil remains in the laboratory is very different from examining people as they relate to one another. Not only do people not lend themselves to many of the experiments that can be performed on the inert fossil, but they also evoke a reaction from the researcher, which the fossil does not. Researchers cannot help reacting to people—they find an individual likable or disagreeable, good-looking or ugly, intelligent or dense—whereas in analyzing a fossil such judgments do not even enter the researchers’ minds. Much as they wish to further objectivity, the conclusions of social scientists may be tinged by bias. In the social sciences, then, there are no absolute conclusions and no absolutely objective interpretations.

社会科学学科源于社会哲学，旨在科学地研究人们在自身构建的社会世界（而非其所生的物质世界）中的行为。尽管这些学科的研究对象已困扰哲学家数千年，但其发展历程却相当新颖。社会科学的真正创新之处在于，它们试图运用科学方法来构建关于人类社会行为的概括和理论。

Social science disciplines evolved from social philosophy to study scientifically how people behave in the social world that is of their own making (as opposed to the physical world into which they are born). The disciplines are fairly new, although their subject matter has occupied philosophers for thousands of years. What is really new about the social sciences is that they attempt to use the scientific method to formulate generalizations and theories about human behavior in society.

社会科学将科学方法作为理论构建的工具。科学方法意味着研究人员在工作中秉持一系列态度，包括怀疑、客观和伦理中立。科学方法还涉及一种基于精确系统地观察和记录数据的特定技术。这项技术包括：问题的选择和定义；数据收集计划；假设的陈述；数据的实际收集、分类、分析和验证（复制）；以及概括。受控条件和训练有素的观察员也至关重要。科学方法运用概念（对相似事物进行抽象分类的方法）、理论（为解释和预测现象之间可能存在的关系而编排的概念集）和研究（检验、支持或反驳理论）。

The social sciences use the scientific method as a tool for theory building. The scientific method implies that researchers do their work with a set of attitudes that includes doubt, objectivity, and ethical neutrality. The scientific method also involves a specific technique based on precise and systematic observation and recording of data. This technique includes the selection and definition of problems and a plan for the collection of data; a statement of hypothesis; the actual collection of data, their classification, analysis, and verification (replication); and generalization. Controlled conditions and trained observers are also essential. The scientific method uses concepts (abstract ways of classifying things that are similar), theories (sets of concepts arranged so as to explain and predict possible and probable relationships among phenomena), and research (which tests and bolsters theories or refutes them).

社会科学研究的方法包括：抽样调查、案例研究、参与式观察、田野调查和实验室实验。此外，还使用历史法或印象法以及人口统计方法。

Social scientific research includes the following methods: the sample survey, the case study, participant observation, and field and laboratory experiments. In addition, the historical or impressionistic methods as well as the demographic method are used.

科学方法虽然比通过表面观察、洞察或其他传统方法收集信息要优越得多，但由于需要客观性、怀疑精神和道德中立性，它尤其难以应用于社会科学学科。

The scientific method, although it is vastly superior to gathering information by superficial observation, insight, or other traditional methods, is especially difficult to apply in the social science disciplines because of the need for objectivity, skepticism, and ethical neutrality.

案例研究 一种对单个社会单位进行详细、长期调查的研究方法。

case study A method of research consisting of a detailed, long-term investigation of a single social unit.

概念关于彼此相关的人、物体或过程的概括性想法；对相似事物进行分类的抽象方法。

concept A generalized idea about people, objects, or processes that are related to one another; an abstract way of classifying things that are similar.

横截面 在特定时间点对大量人群进行的调查。

cross-section A survey of a broad spectrum of a population at a specific point in time.

因变量受 自变量影响的概念。

dependent variable The concept affected by the independent variable.

伦理中立 社会科学中科学方法的一种态度，要求科学家不能对他们的发现做出道德判断。

ethical neutrality An attitude of the scientific method in the social sciences, requiring that scientists not pass moral judgment on their findings.

实验一种研究方法，研究人员控制和操纵一组变量来测试独立变量对因变量的影响。

experiment A method of research in which the researcher controls and manipulates variables in one group to test the effects of an independent variable on a dependent variable.

假设以明确定义的术语提出的暂定陈述，预测变量之间的关系。

hypothesis A tentative statement, in clearly defined terms, predicting a relationship between variables.

自变量 影响因变量的概念。

independent variable The concept that affects the dependent variable.

纵向研究 一项持续很长一段时间的调查，进行对比和比较。

longitudinal study A survey that continues over a long period, engaging in contrasts and comparisons.

平均值 将所有数字相加，然后除以案例数得出的数字。

mean The figure obtained by adding all of the figures and dividing them by the number of cases.

中位数 位于数字分布中间的数字。

median The number in the middle of the distribution of figures.

众数一组数字中出现频率最高的数字。

mode The number that appears most frequently in a group of numbers.

参与式观察 一种研究方法，研究人员试图参与被分析群体成员的生活，有时不透露他们的目的。

participant observation A method of research in which researchers try to take part in the lives of the members of the group under analysis, sometimes without revealing their purposes.

人口社会科学中的一个统计概念，指所研究现象的总体（例如，就读于四年制私立大学的所有大学生）。

population In the social sciences, a statistical concept referring to the totality of phenomena under investigation (e.g., all college students enrolled in four-year private universities).

定性研究 通过描述和定义现象来收集和分析数据以寻找意义的方法；可能是主观的。

qualitative research A method that collects and analyzes data by describing and defining phenomena to find meanings; may be subjective.

定量研究 使用数学、统计有效和严格客观的测量方法来寻求现象的解释。

quantitative research Uses mathematical, statistically valid, and strictly objective measurements of phenomena seeking explanations.

研究： 科学方法论的一种形式，用于支持和补充理论。社会科学研究主要采用四种基本形式：抽样调查、案例研究、实验和参与观察。

research An aspect of scientific methodology that bolsters and complements theories. In the social sciences, four fundamental formats are used: the sample survey, the case study, the experiment, and participant observation.

抽样调查 一种研究方法，试图确定某一特定行为或观点在特定人群样本中的发生情况。

sample survey A method of research consisting of an attempt to determine the occurrence of a particular act or opinion in a particular sample of people.

统计学 以数字形式用来处理研究获得的信息的方法。

statistics Methods in the form of numbers used to process information obtained by research.

理论一组用于解释和/或预测可能和可能的关系的概念。

theory A set of concepts arranged so as to explain and/or predict possible and probable relationships.

变量研究人员试图揭示其关系的因素；每个个案中不同（变化）的特征。

variables Factors whose relationships researchers try to uncover; characteristics that differ (vary) in each individual case.

布朗，帕特里夏·利。2009 年。“隐形移民，年老且左翼，‘无人倾诉’”，《纽约时报》，8 月 30 日，第 A1 页。

Brown, Patricia Leigh. 2009. “Invisible Immigrants Old and Left With ‘Nobody to Talk To’, The New York Times, August 30, p. A1.

格拉德威尔，马尔科姆。2006 年。“原因如下。” 《纽约客》，4 月 10 日，第 80-82 页。

Gladwell, Malcolm. 2006. “Here’s Why.” The New Yorker, April 10, pp. 80–82.

戈夫曼，爱丽丝。2014。《逃亡：美国城市的逃亡生活》。芝加哥：芝加哥大学出版社，第C1-5页。

Goffman, Alice. 2014. On The Run: Fugitive Life in an American City. Chicago: University of Chicago Press, pp. C1–5.

Hoover, Kenneth 和 Todd Donovan。1995。《社会科学思维要素》，第 6 版。纽约：圣马丁出版社。

Hoover, Kenneth, and Todd Donovan. 1995. The Elements of Social Scientific Thinking, 6th ed. New York: St. Martin’s Press.

Stephan, James E.、Janet E. Rosenbaum 和 Ann E. Person。2010 年。“超越一刀切的大学梦。” 《美国教育家》，2010 年秋季，第 2-11 页。

Stephan, James E., Janet E. Rosenbaum, and Ann E. Person. 2010. “Beyond One Size Fits all College Dreams.” American Educator, Fall 2010, pp. 2–11.

Tierney, John. 2007. “我脑子里的声音说‘买它！’为什么要争论？” 《纽约时报》，1月16日，D9版。

Tierney, John. 2007. “The Voices In My Head Say ‘Buy It!’ Why Argue?” The New York Times, January 16, D9.

www.sciencedirect.com/science/journal/0048989X

Berg, Bruce L. 2009. 《社会科学定性研究方法》（第七版）。波士顿：Allyn & Bacon出版社。本书对这一方法论进行了清晰的解释。

Berg, Bruce L. 2009. Qualitative Research Methods for the Social Sciences, 7th ed. Boston: Allyn & Bacon. A clear explanation of this methodology.

戈夫曼，爱丽丝。2014。《逃亡：美国城市的逃亡生活》。芝加哥：芝加哥大学出版社。本书以深度沉浸式的城市民族志田野调查方式展开，文笔引人入胜，宛如小说。

Goffman, Alice. 2014. On the Run: Fugitive Life in an American City. Chicago: University of Chicago Press. A deeply immersive style of field work in urban ethnography, so interestingly written that it mimics a work of fiction.

以下网站将打开大量有关社会科学研究主题的链接：

The following Web sites will open up numerous links on the subject of social science research:

www.harvard.edu。定量社会科学研究所（IQSS）。这是哈佛大学社会科学研究的所在地。

www.harvard.edu. The Institute for Quantitative Social Science—IQSS. This is Harvard University’s home for social science research.

www.sciencemag.org/content/343/6166/30.summary

在本章中，你将学习

IN THIS CHAPTER, YOU WILL LEARN

• 自然科学关于宇宙起源和我们居住的星球的发现；

• what the natural sciences have discovered concerning the origin of the universe and the planet on which we live;

• 自然科学家对地球生命起源的了解有多少；

• what the natural scientists know about how life on earth began;

• 进化论的基本前提及其主要概念——自然选择；

• the basic premise of the theory of evolution, as well as its principal concept, natural selection;

• 遗传学作为自然科学工具的重要性；

• the importance of genetics as a tool of natural science;

• 化石记录显示的人类进化的历史阶段；

• the historical stages of human evolution as shown by the fossil record;

• 农业的出现及其后果；以及

• the appearance of agriculture and its consequences; and

• 人类文化的生物学基础。

• the biological foundations of human culture.

T我们赖以生存的星球——地球——的形成，以及地球上生命的起源，通常并非社会科学的研究对象。它们属于精确科学或自然科学的范畴。然而，为了让我们置身于这个世界，并了解那些为解释人类起源而出现的信仰体系，有必要总结一些关于我们是谁以及我们如何来到这个世界的知识。

The formation of the planet on which we live, the earth, and the origins of life on it are not usually subjects of the social sciences. They are in the proper sphere of the exact or natural sciences. Nonetheless, in order to place ourselves in our world and to learn of the belief systems that have emerged to explain our origins, it is important to summarize some of the knowledge about who we are and how we came to be here.

“起初，神创造天地。地是空虚混沌，渊面黑暗。神的灵运行在水面上。”犹太教-基督教圣经是这样记载地球创造的。接下来，故事讲述了上帝如何创造地球上的第一批居民，用泥土塑造他们，并赋予他们生命。在西方社会长大的人，或者至少在犹太教-基督教传统中长大的人，都熟悉圣经第一卷书《创世记》的这段引言。这段叙述之所以引人入胜，是因为它以人人都能理解的方式呈现了创造事件。其他不同文化背景和其他地区的社会，对世界和生命起源也有类似的解释。

“In the beginning God created the heaven and the earth. And the earth was without form, and void; and darkness was upon the face of the deep. And the Spirit of God moved upon the face of the waters.” So begins the Judeo-Christian Biblical account of the creation of the earth. The narrative goes on to recount how God made its first inhabitants, fashioning them out of clay and breathing life into them. Those brought up in Western societies, or at least within the Judeo-Christian religious tradition, are familiar with this introduction to Genesis, the first book of the Bible. The narrative is appealing because it presents the events of creation in terms that all can readily understand. Other societies, with different cultures and in other regions, have similar explanations of the origin of the world and of life.

物理科学讲述了一个不同的故事，一个更难让人理解的故事。根据研究早期宇宙的天体物理学家的说法，我们的家园地球在银河系中只是一颗相当小巧、微不足道的行星。反过来，银河系在浩瀚得不可思议的宇宙中也只是一个小星系。宇宙的确切年龄仍在研究中——通过观察最古老的恒星，或者通过……测量宇宙膨胀速度——但美国国家航空航天局 (NASA) 的科学家利用其威尔金森微波各向异性探测器 (WMAP) 测得宇宙的年龄为 137 亿年（NASA/戈达德太空飞行中心，2010 年；另见其网站）。这项研究属于宇宙学，即研究宇宙起源和演化的学科。宇宙学是一门先锋科学，尽管存在局限性，但有望帮助科学家们逐步找到真相。

The physical sciences tell a different story, one that is more difficult for people to grasp. According to astrophysicists who study the early universe, the earth, which is our home, is a fairly small and insignificant planet in the Milky Way galaxy. In turn, the Milky Way is only a minor galaxy in a universe that is unthinkable in its vastness. The exact age of the universe is still being studied—by looking at the oldest stars or by measuring the rate of expansion—but scientists at the National Aeronautics and Space Administration (NASA), using its Wilkinson Microwave Anisotropy Probe (WMAP), pegged the age of the universe at 13.7 billion years (NASA/Goddard Space Flight Center, 2010; see also their Web site). This research is part of cosmology, the study of the origin and evolution of the universe, a pioneering science that holds the promise for scientists to converge toward facts, despite limits.

目前的观点，在美国宇航局宇宙背景探测器（COBE）卫星的发现的支持下，描绘了这样一种场景：宇宙始于一次原始爆炸，通常被称为大爆炸（宇宙学的探索由此开始；在此之前，所涉及的力超出了已知的物理学范围）。爆炸是由亚微观、密度无限大、温度难以想象的纯能量团向四面八方飞出，最终产生辐射和物质。随后，引力将物质拉向密度更大的区域，数十亿年后，这些区域变成了星系、恒星、行星以及包括生命在内的一切存在。支持该理论的证据包括宇宙正在膨胀的观测结果；电磁辐射（称为微波）的存在，据推测是初始爆炸的遗留物；以及宇宙中化学元素的相对丰度。 COBE卫星记录了辐射层中微小的温度变化，这些变化被解读为大爆炸的遗迹。这些波动的发现有助于解释早期宇宙看似均匀的结构是如何排列成如今已知的星系团和巨大空洞的。NASA/WMAP团队认为，新的宇宙图景似乎支持了大爆炸和膨胀理论。他们补充说，宇宙的构成成分包括4%的原子、22%的未知暗物质，以及74%的神秘暗能量，它起到了某种反引力的作用（NASA/WMAP科学团队）。

Current thinking, supported by the discoveries of NASA’s Cosmic Background Explorer (COBE) satellite, paints a scenario in which the universe begins with a primeval explosion, commonly called the big bang (this is where cosmology begins its quest; before this moment the forces involved lie beyond known physics). The explosion was the result of a submicroscopic, infinitely dense, and unimaginably hot knot of pure energy that flew outward in all directions, eventually giving rise to radiation and matter. Gravity then drew the matter to denser regions that, over billions of years, became galaxies, stars, planets, and everything that exists, including life. The evidence supporting the theory includes observations that the universe is expanding; the existence of electromagnetic radiation, called microwaves, presumably left over from the initial explosion; and the relative abundance of chemical elements in the universe. The COBE satellite recorded minute temperature variations in the blanket of radiation, which were interpreted as remains from the big bang, and the discovery of those fluctuations helped explain how the seemingly homogeneous fabric of the early universe had arranged itself into the clusters of galaxies and giant voids of space that are known today. The NASA/WMAP team suggests that the big bang and inflation theories appear to be supported by its new portrait of the cosmos. They add that the contents of the universe include 4 percent atoms, 22 percent an unknown type of dark matter, and 74 percent a mysterious dark energy, which acts as a sort of antigravity (NASA/WMAP Science Team).

大爆炸理论的图示显示了宇宙从原子大小膨胀到大约葡萄柚大小的过程。这一过程发生在大爆炸后不到万亿分之一秒的时间内，并且由一种超级力主导。随着宇宙冷却膨胀，最初的力分解成四种至今仍可观测的力：引力、电磁力以及作用于原子内部的弱核力和强核力（Broad，2003，D4）。在接下来的大约137亿年里，引力创造了类似星系的结构，星系中诞生了恒星，宇宙继续膨胀。目前尚不清楚宇宙是否会永远膨胀，或者引力最终会减缓并逆转膨胀，导致宇宙坍缩。从宇宙背景探测卫星（COBE）获得的信息似乎表明，宇宙正处于临界密度，也就是说，它将继续膨胀，但速度会越来越慢，最终其膨胀速度将难以察觉。美国国家航空航天局（NASA）的一颗新卫星，名为微波各向异性探测器（MAP），正如上文所述，将用于研究宇宙中各种物质。（想了解更多关于这个引人入胜的课题以及MAP目前的研究进展，请访问NASA网站www.nasa.gov。）

A graphic illustration of the big bang theory shows the expansion of the universe from less than the size of an atom to about the size of a grapefruit, an event that occurred in less than a trillionth of a second after the big bang and was dominated by a single superforce. As the universe cooled and expanded, the original force broke into four forces that are observable today: gravity, electromagnetism, and the weak and strong nuclear forces, which work inside the atom (Broad, 2003, D4). Over the next 13.7 or so billion years, gravity created galaxy-like structures, stars formed in the galaxies, and the universe continued to expand. It is still unknown whether the cosmos will expand forever or whether gravity will eventually slow and reverse the expansion, causing the universe to collapse. The information gained from the COBE satellite seems to indicate that the universe is at critical density, that is, it will continue to expand, but ever more slowly, so that eventually its growth will be hardly perceptible. A new NASA satellite, called the Microwave Anisotropy Probe, or MAP, as mentioned earlier, will study the various kinds of matter in the universe. (For more on this fascinating subject and what MAP is doing right now, check out the NASA Web site at www.nasa.gov.)

生命的起源

The Beginnings of Life

如前所述，社会科学家感兴趣的是人类已经创造并持续创造的社会世界，而非我们赖以生存的物质世界。然而，正是物质世界驱使我们以特定的方式生活。因此，了解地球居民的生物构成也至关重要。

As noted earlier, social scientists are interested in the social world, which humans have created and continue to create, and not in the physical world in which we exist. But it is the physical world that has impelled us to live in specific ways. Therefore, it is also important to learn about the biological makeup of earth’s inhabitants.

我们不可能确切地知道地球上生命的起源。科学家们认为，生命的一些基本组成部分可能是由存在于“原始汤”中的简单化学物质相互作用而产生的，而“原始汤”就是地球在遭受流星雨轰击后形成的。目前的模型还表明，生命所需的分子和细胞成分在地球的早期环境中就已经存在。实验表明，有机分子可能自发地起源于无机形式。您可以通过谷歌搜索“生命起源”来获取更多关于生命起源的详细信息。重点是，在估计有35亿年历史的岩层之间发现了繁荣的微生物群落的化石印记。这意味着生命在地球形成10亿年后就已存在，其进化速度比之前认为的要快得多。因此，生命似乎起源于一个仍然受到火山爆发和彗星和小行星威胁的星球。一些研究人员甚至认为，生命并非只有一次开始；相反，它曾多次尝试出现，最后才“占领”并蔓延到整个地球（Nash，1993，70）。

It is impossible to know with certainty the origins of life on earth. Scientists have suggested that some essential components of life could have been created by the interaction of simple chemicals that were in existence in the “primordial soup” that was the earth after having been bombarded by a rain of meteors. Current models also show that the components of molecules and cells needed for life were present in the early environment of earth. Experiments have shown that organic molecules could have originated spontaneously from inorganic forms. More detailed information about the origins of life may be obtained by googling the phrase “origins of life.” The point is that fossilized imprints of a thriving microbial community have been found between layers of rock that were estimated to be 3.5 billion years old. This means that life was already established a billion years after the formation of the planet, a much faster evolution than had been previously believed. Therefore, life apparently originated on a planet still racked by volcanic eruptions and constantly menaced by comets and asteroids. Some researchers even believe that life did not begin only once; rather, it tried to come into existence several times before it finally “took” and spread all over the planet (Nash, 1993, 70).

图 2.1从太空俯瞰地球，下方是银河系。地球是一颗小小的行星，但奇迹般地，它拥有孕育和维持生命所需的一切要素。

IMAGE 2.1 An illustration of earth, as seen from space, with the Milky Way galaxy underneath it. Earth is a small planet, but miraculously, it contains all the right ingredients to create and sustain life.

iStock：© titoOnz

iStock: © titoOnz

最终，原生质体，即简单的单细胞微生物，既不是植物也不是动物，不知何故获得了自我繁殖的能力。就像我们今天所知的一些细菌一样，这些生物漂浮在水中，以水中存在的矿物质和其他物质为食。渐渐地，其中一些生物进化出了制造叶绿素的能力。利用叶绿素，结合二氧化碳和阳光，这些生物能够自行合成有机物质。它们存活得非常好，最终进化成了植物。其他尚未进化出叶绿素的生物开始以植物为食，最终进化成了动物。

Eventually, protoplasm, simple one-celled microorganisms that were neither plants nor animals, somehow acquired the ability to reproduce themselves. Like some bacteria we know today, these organisms floated in the waters, living on minerals and other substances that were present there. Gradually, some of these organisms developed the ability to make chlorophyll. Using this substance in combination with carbon dioxide and sunlight, the organisms were able to build their own organic substances. They survived so well that eventually they became plants. Other organisms, which had not developed chlorophyll, began feeding on the plants and eventually emerged as animals.

最终，一些先驱者确实冒险离开了安全的海洋，试图在岩石密布、光秃秃、环境恶劣的陆地上生存。这被认为发生在大约10亿年前，尽管研究人员发现了生活在32亿年前形成的火山口附近的微生物（Wade，2000，D1）。最早的第一个尝试这一冒险的生物被认为是节肢动物，它是螃蟹、龙虾和昆虫的前身。这种类似蝎子的生物最终变成了半陆生半水生。另一种这样的生物是一种蝾螈，它的化石遗骸（呈臂骨形状）向研究人员表明，它是鱼类和两栖动物之间的过渡物种。它的鳍最初是鱼，后来进化成了手臂，在某个时候变得足够强壮，可以让鱼把头抬出水面，最终把身体完全推出水面。根据研究人员的说法，这发生在 3.65 亿年前。然而，如果没有植物，陆地确实是不适宜生存的。直到一些植物也放弃了它们在海里的家园，学会在经常被洪水和干涸的沿海低地生存，干燥的大陆上的生命才成为可能。在某种程度上，陆地成为了生命的试验场。大量的动植物应运而生：一些适应了现有的条件并存活了下来；其他的则无法生存，最终灭亡。植物通过苔藓、蕨类植物和种子植物的连续演化而来。陆生动物包括大型爬行动物、飞鸟和小型哺乳动物。

Ultimately, some pioneers did venture out of the safety of the sea to try to survive in the rocky, bare, and harsh environment of dry land. This is thought to have happened about 1 billion years ago, although researchers have discovered microbes that lived near volcanic vents formed 3.2 billion years ago (Wade, 2000, D1). One of the earliest creatures to try this adventure is believed to have been an arthropod, a predecessor of crabs, lobsters, and insects. The scorpion-like creature eventually became half terrestrial and half aquatic. Another such creature was a kind of salamander, whose fossil remains (in the shape of an arm bone) indicate to researchers that it had been a transitional species between fish and amphibian. Originally a fish, its fins became adapted as arms, which at some point became strong enough to allow the fish to lift its head out of the water and, eventually, to push itself out of the water altogether. This, according to the researchers, would have happened 365 million years ago. Without plants, however, the dry land was indeed inhospitable. It was not until some plants also abandoned their homes in the sea, learning to survive in the coastal lowlands that were frequently flooded and drained, that life on the dry continents became possible. In a way, dry land became a testing ground for life. A large number of plants and animals came into being: some adapted to existing conditions and lived; others could not and perished. Plants developed through a succession of mosses, ferns, and seed plants. Terrestrial animals included huge reptiles, flying birds, and small mammals.

进化论的出现

The Emergence of the Theory of Evolution

简单的单细胞生物是如何演变成极其复杂的动植物的？我们知道，这些演变过程极其缓慢，跨越的时间之长令人难以捉摸。在此期间，大量物种出现，随后灭绝，许多为生存而发展起来的社会机制也消失得无影无踪。然而，科学家们已经能够重现这些里程碑：哺乳动物中灵长类动物的出现，最终通过猿类和类人猿发展到现代人类；文化特征的出现，促进了农业的发展；以及在过去5000年中，城市社会和国家概念的出现。

By what processes did simple one-celled organisms become immensely complex animals and plants? We know that the processes occurred extremely slowly, in a span of time so great that it is difficult for us to grasp. During this span, a large number of species appeared and later became extinct, and many social mechanisms that developed as an aid to survival also disappeared without a trace. However, scientists have been able to reconstruct the milestones: the appearance of primates among mammals, leading eventually, through apes and hominids, to modern humans; the emergence of cultural traits, contributing to the development of agriculture; and, within the past 5,000 years, the emergence of urban societies and the concept of the state.

迄今为止，重建历史事件的过程充满痛苦和艰辛。只有当科学家们以科学理论为基础，运用科学方法，并利用化石记录来支持这些理论所提出的假设时，重建才得以开始。

The reconstruction of events so far in the past has been painful and painstaking. It began only when scientists, basing their studies on scientific theories and using the scientific method, took advantage of the fossil record to support the hypotheses these theories suggested.

很久以前，思想家们就推测动物和人类都经历了变化，以适应不同的环境。然而，随着西方社会接受基督教，他们倾向于否定任何违背《圣经》教义的解释。对《圣经》的严格解释认为，上帝同时创造了人类以及所有其他低于人类的生物，并且这些生物自创世以来从未改变。人们相信静态、不变的创造论的原因之一是，当时欧洲的政治和社会秩序也是静态的，似乎也一成不变。

Thinkers long ago speculated that both animals and humans had undergone changes to adapt to different environments. As the societies of the West embraced Christianity, however, they tended to discount any explanation that went against the teachings of the Bible. A strict interpretation of the Bible had maintained that God created humans and all other living creatures that were inferior to humans at the same time, and none of these had changed since the moment of creation. One reason people believed in static, immutable creation was that the political and social orders of Europe were static and appeared unchangeable at this time, too.

十七、十八世纪，批判性思维和相对自由的探究活动蓬勃发展；十九世纪，工业革命带来了社会和文化的巨变。在法国，一个饱受革命摧残、君主制被共和制取代的国家，学者们开始公开推测，生物体可能会发生变化，并遗传给后代。他们基于雨水、风、阳光和潮汐等自然力量对地球外观造成的可见变化，提出了这一观点。因此，让·巴蒂斯特·德·拉马克男爵（1744-1829）写道，动物的外观并非固定不变，而是会根据环境的某些要求而发生变化。此外，这些变化会遗传给后代，使它们更适应环境。化石的发现进一步证实了这些观点，其中包括一些这些物种已经不复存在，是在当时为工业目的进行挖掘时发现的。

The seventeenth and eighteenth centuries saw an increase in critical thinking and relatively free inquiry, and the nineteenth century brought dramatic changes of a social and cultural nature because of the Industrial Revolution. In France, a country torn by a revolution that saw the monarchy supplanted by a republic, scholars began to speculate openly that living organisms were probably subject to changes that were passed on to succeeding generations. They based this idea on the visible changes that forces of elements such as rain, wind, sun, and tides wrought on the appearance of the earth. Thus, Baron Jean Baptiste de Lamarck (1744–1829) wrote that animals were not fixed in appearance but changed in response to certain requirements of their environment. Furthermore, those changes were passed on to the offspring, which were then better suited to life in their environment. These claims were reinforced by findings of fossils, including some of species no longer living, which were being discovered at about that time during excavations for industrial purposes.

思想革命：达尔文和他的理论

A Revolution in Thought: Darwin and His Theory

1830年，苏格兰地质学家查尔斯·莱尔（Charles Lyell，1797-1875）出版了《地质学原理》（Principles of Geology）。他在书中认为，自然力以统一的方式运作，将地球的地形变成了如今的面貌。换句话说，地球不断地受到风、雨、温度以及河水泛滥和火山爆发的影响。他认为，这些变化发生得非常缓慢，因此地球的年龄必然非常古老——数百万年，而不是《圣经》和基督教权威所认为的几千年。

In 1830, a Scottish geologist, Charles Lyell (1797–1875), published a book, Principles of Geology, in which he maintained that natural forces operating in a uniform manner had transformed the topography of the world into its present appearance. In other words, the earth was continually being altered by the forces of wind, rain, and temperature as well as by the flooding of rivers and volcanic eruptions. These changes, he thought, occurred very slowly, so the planet had to be very old—many millions of years old, and not the few thousand years that the Bible and the Christian establishment attributed to it.

莱尔的书落入了业余博物学家查尔斯·达尔文 (1809-1882) 的手中。在担任船上博物学家的五年航行中，他观察了各大洲的动植物和居民。那次航行，他乘坐的是名为 HMS Beagle的船，勘测了南美洲、澳大利亚和亚洲以及南海的海岸，并促使他发展了一个革命性的理论。1859 年，达尔文发表了他著名的《物种起源》（之前达尔文与年轻的同事 AR Wallace 一起发表了一篇初步论文）。在书中，达尔文认为物种并不像以前认为的那样是不可改变的；相反，属于同一类别的物种是其他一些可能灭绝的物种的直系后代。达尔文还假定这些变化是对环境的反应。最重要的是，达尔文通过描述进化变化的机制提供了证据：即自然选择。

Lyell’s book came into the hands of amateur naturalist Charles Darwin (1809–1882), who was able to observe the flora and fauna, as well as the peoples of various continents, during his tenure as a ship’s naturalist during a five-year voyage. That voyage, on a ship called the H.M.S. Beagle, which surveyed the coasts of South America, Australia and Asia, and the South Seas, led him to develop a revolutionary theory. In 1859, Darwin published his famous On the Origin of Species (preceded by a preliminary paper that Darwin presented with a young colleague, A. R. Wallace). In it, Darwin maintained that species are not immutable, as was previously thought; on the contrary, species belonging to the same category are lineal descendants of some other species likely to be extinct. Darwin also posited that the changes occurred as a reaction to environment. Most important, Darwin offered proof by describing the mechanism of evolutionary change: namely, natural selection.

自然选择

Natural Selection

自然选择的过程，简而言之，是这样运作的：在特定领地的总体中，一些个体天生就具有一个随机特征——比如说，拇指可以与手上其他手指相对。这些个体在需要抓握物体的环境中比缺乏该特征的个体表现更好。因此，它们存活时间更长，并有机会繁殖，并将该特征遗传给后代。缺乏相对拇指的个体不太可能存活足够长的时间进行繁殖。最终，它们会从种群中完全消失。

Natural selection is a process that, in simplified form, works this way: some individuals, out of the total population of a particular territory, are born with a random feature—let us say, a thumb that can be opposed to the rest of the fingers on the hand. These individuals do better in an environment in which they have to grasp objects than individuals who lack this feature. Thus, they survive longer and have a chance to reproduce, passing the feature on to some of their descendants. Individuals who lack the opposable thumb are less likely to survive long enough to reproduce. Eventually they disappear altogether from the population.

达尔文从他的观察中推断出自然选择的过程，他发现无论动植物，每一代出生的后代都多于可能存活下来的后代。在自然界中，存在着对生存空间、资源和配偶的竞争。一些个体由于其在特定环境中所拥有的特定特性而在竞争中比其他个体更成功。这一事实通常被称为“适者生存”，但这一说法可能具有误导性。“适应”的生物是指在特定时间在特定环境中生存和繁殖的生物。当环境发生变化时（这种情况经常发生），可能需要一种新的特性，而拥有新特性的生物将成为“最适合”的。通过这种方式，自然环境会选择出更可取的特性，并且这些特性在特定种群中会变得更加常见，至少在环境发生变化之前是如此。

Darwin deduced the process of natural selection from his observations that among both plants and animals more offspring in each generation are born than can possibly survive. In nature, there is competition for living space, resources, and mates. Some individuals are more successful in competing than others because of specific traits that they possess in a particular environment. This fact is usually referred to as “survival of the fittest,” but this phrase may be misleading. A “fit” organism is one that survives and reproduces in a particular environment at a particular time. When the environment changes, as it frequently does, a new trait may be required, and organisms possessing the new trait will become the “fittest.” In this way, the natural environment selects which traits are preferable, and those traits become more frequent in a given population, at least until there is a change in the environment.

遗传的作用

The Role of Heredity

然而，自然选择过程中的某些问题让达尔文感到困惑。其中之一就是，如果拥有某种有益特质的个体与不拥有该特质的个体交配，这种特质是如何遗传下来的。在达尔文时代，人们认为后代会继承父母特质的混合，但没有足够的证据支持这一观点。

Some points of the natural selection process puzzled Darwin, however. One was how the beneficial trait was transmitted if individuals possessing it mated with others who did not possess it. In Darwin’s time, it was believed that offspring inherited a blend of their parents’ traits, but there was not sufficient evidence to support the idea.

这个谜题的答案来自一位奥古斯丁修道士格雷戈尔·孟德尔（1822-1884）的研究，他一直致力于植物杂交。孟德尔从实验中得出结论，性状既不会混合，也不会完全消失。相反，有些性状是显性的，倾向于表现出来；另一些性状是隐性的，倾向于隐藏起来。被显性性状隐藏的隐性性状可能会在一代中消失，但也可能在后代中重新出现。

An answer to this puzzle came through the work of an Augustinian monk, Gregor Mendel (1822–1884), who had been crossbreeding plants. Mendel concluded from his experiments that traits are not blended, nor do they disappear completely. Rather, some traits are dominant and tend to be expressed; others are recessive and tend to remain hidden. A recessive trait, hidden by a dominant trait, may disappear for a generation but may reappear in a later generation.

孟德尔的研究成果直到20世纪初才为人所知。当时，达尔文进化论与孟德尔遗传学的结合（如今被称为“现代综合”）得到了众多研究人员的证实。这些研究人员能够从数学上证明，即使是生存和繁衍能力的微小差异，在足够长的时间跨度内，也可能导致巨大的变化。他们的研究为当代进化论奠定了基础，而现代进化论最好在遗传学的背景下理解。

Mendel’s work remained obscure until the beginning of the twentieth century, when the combination of Darwinian evolutionary theory and Mendelian genetics, now termed the modern synthesis, was validated by a number of researchers. The latter were able to prove mathematically that even minute differences in the ability to survive and produce offspring could result, in a long enough span of time, in substantial change. Their work laid the groundwork for contemporary evolutionary theory, which is best understood in the context of genetics.

遗传学

Genetics

遗传学这门相对较新的学科分为三个分支领域：染色体遗传学或孟德尔遗传学，研究染色体如何在代际间传递基因；细胞遗传学，关注生化和细胞事件；以及群体遗传学，研究自然选择以及其他导致遗传变异和种群变化的原因。为了理解人类如何进化以及为何展现出如此多样的生理特征，我们必须熟悉一些遗传机制。

The relatively new science of genetics is divided into three subfields: chromosomal or Mendelian genetics, concerned with how chromosomes transmit genes across generations; cytogenetics, which focuses on biochemical and cellular events; and population genetics, which deals with natural selection and other reasons for genetic variation and changes in populations. To understand how humans evolved and why they exhibit such a wide variety of physical traits, we must become acquainted with some of the mechanisms of heredity.

群体遗传学：变化的因素

Population Genetics: Factors for Change

动植物的结构性状——即它们的外观和样子——由称为基因的遗传单位传递。基因包含一份蓝图，指示生殖系统如何控制特定动植物的外观和功能：眼睛、毛发和皮肤的颜色；身高和体型；以及是应该有四条腿和一条尾巴，还是两条腿、两只手、没有尾巴。这份蓝图，或称代码，取决于构成基因内容的DNA分子的排列。DNA是脱氧核糖核酸的缩写，是所有生命的基本组成部分。每种基因的DNA化学结构略有不同，而这正是决定特定性状遗传的关键。反过来，每种生物体都有不同种类和数量的基因，从病毒等简单生物体中非常少的基因数量，到人类等复杂生物体中非常多的基因数量，不一而足。

The structural traits of plant and animal—what the plant and animal will look and be like—are transmitted by hereditary units called genes. Genes contain a blueprint with instructions to the reproductive system about how a specific plant or animal should appear and function: what color eyes, hair, and skin it should have; what height and body type it should be; and whether it should have four legs and a tail or two legs, two hands, and no tail. This blueprint, or code, is dependent on the arrangement of the DNA molecules, which make up the content of genes. DNA stands for deoxyribonucleic acid and is the basic building block of all life. Each type of gene has a DNA of a slightly different chemical structure, and this is what determines the inheritance of specific traits. In turn, each organism has a different kind and number of genes, varying from a very small number for simple organisms, such as viruses, to a very large number for complex organisms, such as humans.

每个基因都包含一段具有可识别结构或功能的DNA，它们以线性顺序排列，并被包装在称为染色体的单元中。人类通常有46条染色体，成对排列。每个个体从母亲那里继承一组23条染色体，从父亲那里继承另一组23条染色体。染色体位于每个细胞的细胞核中。

Genes, each containing a section of DNA with an identifiable structure or function, are arranged in a linear order and packaged in units called chromosomes. Humans normally have 46 chromosomes arranged in matching pairs. Each individual inherits one set of 23 chromosomes from its mother and another set of 23 from its father. Chromosomes are located in the nucleus of every cell.

人类基因组计划。近年来，科学家们揭示了人类遗传密码的顺序。破解人类生命遗传密码被称为人类自我认知的巅峰，因为实际上，科学家们已经破译了定义人类有机体的遗传指令集。正是这套指令集，让卵子与精子数百万次地相遇，最终诞生出一个个体，其所有组成部分都已准备就绪，能够以人类的各种方式运作。

The Human Genome Project. Scientists have in the recent past uncovered the order, or sequence, of the human genetic code. The cracking of the genetic code of human life has been called a pinnacle of human self-knowledge because, in effect, scientists have deciphered the hereditary set of instructions that defines the human organism. This is the script by which, millions of times, an egg meets a sperm, and the resulting individual is born with all its parts in place, ready to function in the myriad ways in which a human being functions.

这份脚本由超过30亿个碱基对组成——它们是DNA双螺旋结构之间的衔接部分。这些碱基分别是腺嘌呤(A)、胞嘧啶(C)、鸟嘌呤(G)和胸腺嘧啶(T)。未来，科学家希望能够定位所有基因并揭示其功能。这将为医疗健康领域带来实际应用。事实上，测序有望彻底改变医疗实践。从基因组测序中收集到的知识已被用于指导人体的通讯系统以特定方式运作：例如，命令细胞修复受损组织或抵抗入侵者。最终，科学家们希望开发出各种针对个体患者的诊断工具和治疗方法。他们还希望测序能够有助于充分利用人体的自我修复能力。

The script consists of more than 3 billion base pairs—the rungs between the strands of the double helix of the DNA. The bases are adenine (A), cytosine (C), guanine (G), and thymine (T). In the future, scientists hope to locate all genes and uncover their function. This would lead to practical applications in the area of health. The sequencing, in fact, is expected to revolutionize the practice of medicine. The knowledge gathered from the sequencing of the genome is already being used to direct the communication system of the body to act in specific ways: for instance, ordering cells to repair damaged tissue or fight off invaders. Eventually, scientists expect to develop a variety of diagnostic tools and treatments that may be tailored to individual patients. They also hope that the sequencing will be helpful in taking advantage of the body’s ability to self-repair.

基因频率。在每个近亲繁殖种群（一群因生活在同一大致区域而相互繁殖的个体）中，基因以特定比例出现。也就是说，这样的种群可能包含30%的X基因、20%的Y基因和50%的Z基因。这种情况称为基因频率。只要基因频率保持不变，种群就会呈现出特定的外观。如果基因频率发生变化（即某个基因的比例增加或减少），种群就会发生进化。最终，种群的外观或结构的某些方面将发生变化。

Gene Frequency. Within each inbreeding population—a group of individuals who breed with one another because they live in the same general territory—genes occur in specific proportions. That is, such a population might contain individuals with 30 percent of gene X, 20 percent of gene Y, and 50 percent of gene Z. This condition is called gene frequency. As long as gene frequency remains constant, the population will have a specific appearance. If gene frequency changes—if the proportion of a given gene increases or decreases—the population is undergoing evolution. Eventually, changes will occur in some aspect of the population’s appearance or structure.

突变。基因频率是如何变化的？通常情况下，DNA是一种稳定的结构，不会发生变化。然而，DNA偶尔会发生轻微的变化；然后基因的信息内容就会改变，这种变化会传递给后代。遗传物质的永久性变化称为突变。突变很少见（据计算，在人类群体中，突变基因的发生率最低为每百万生殖细胞约5个突变，最高为每百万约100个突变），但它是持续存在的，也是人类特征性变异的根源。有时，突变会导致明显的异常，例如唐氏综合症，但大多数突变的影响更为微妙（Haviland，1995，63）。科学家推测，某些形式的突变是由辐射、某些化学物质和热量引起的，但我们很可能还不知道许多其他原因。

Mutation. How does gene frequency change? Normally, the DNA is a stable structure not subject to change. On occasion, however, a slight change in DNA does occur; then the information content of the gene is changed, and the change is transmitted to later generations. Permanent change in genetic material is called mutation. Mutation is rare (mutant genes have been calculated to run from a low of about five mutations per million sex cells to a high of about 100 per million, in the human population), but it is constant, and it is the source of the variations characteristic of humans. Sometimes mutations produce obvious abnormalities, such as Down syndrome, but the large majority of them produce more subtle effects (Haviland, 1995, 63). Scientists have speculated that some forms of mutation are caused by radiation, certain chemicals, and heat, but it is likely that we are ignorant of many other causes.

需要强调的是，当后代出生时，携带着来自父母双方的遗传基因——这使得后代看起来与父母双方截然不同——这并不是突变：而是现有基因的重新组合。突变是一种随机的、偶然的事件，有时会带来积极的结果，提高生物体的生存几率，有时也会带来有害的后果，导致疾病或畸形。导致生物体死亡的有害突变对进化过程没有任何影响。积极的突变会导致群体内的遗传变异（例如，肤色差异的原因），并且是自然选择的必要条件。

It should be stressed that what happens when an offspring is born with the inherited genes from its father and mother—which make the offspring appear distinct from either parent—is not mutation: it is a reshuffling of existing genes. Mutation is a random, chance occurrence that sometimes has positive results, enhancing an organism’s chance of survival, and at other times has harmful consequences, causing disease or malformation. A harmful mutation that leads to the organism’s death has no consequences for the process of evolution. A positive mutation contributes to the genetic variation within a population (the reason for differences in skin coloration, for instance) and is a necessary condition for natural selection.

例如，遗传学家最近推测，大约240万年前发生的基因突变可能是重塑人类面部形状的原因。该突变发生在一个负责发育强健颌骨肌肉以进行咀嚼和咬合的基因上。其他灵长类动物，例如黑猩猩和猕猴，仍然拥有如此强健的颌骨，以及负责产生这些肌肉的基因。然而，在人类中，一个突变使该基因失活。结果，人类的颌骨变得更小、更不突出、更无力。与此同时，这导致了更大的大脑的发育。颌骨肌肉似乎限制了头骨的生长，因此较小的颌骨肌肉会在头骨中留下更多空间供大脑填充。

As an example, geneticists have recently speculated that a mutation in a gene that occurred around 2.4 million years ago was probably responsible for reshaping the human face. The mutation took place in a gene responsible for developing strong jaw muscles for chewing and biting. Other primates, like chimpanzees and macaques, still have such strong jaws, as well as the gene responsible for producing them. In humans, however, a mutation inactivated this gene. As a result, human jaws became smaller, less protruding, and weaker. At the same time, this led to the development of a larger brain. Jaw muscles apparently limit the growth of the skull, so smaller jaw muscles left more space in the skull to be filled by the brain.

遗传漂变。除了基因突变之外，基因库的平衡也可能因遗传漂变而被打破。（基因库由特定种群可获得并由下一代继承的所有遗传物质组成。）遗传漂变是偶然事件的影响对小群体基因库的影响尤其显著。它尤其会影响那些被隔离了好几代的小群体。在这种情况下，一个随机性状往往会在几代人的时间内变得非常普遍，以至于该群体开始与原来的群体截然不同。

Genetic Drift. In addition to mutation, the balance of a gene pool may be upset by genetic drift. (A gene pool consists of all the genetic material available to a specific population to be inherited by the next generation.) Genetic drift is the effect of chance events on the gene pool of small populations. In particular, it affects small populations that are isolated for several generations. In these circumstances, a random trait will tend to become so common in the span of a few generations that the group will begin to look distinct from the original group.

基因流动。另一方面，一些繁殖种群会与不同基因库的成员交换基因（某些社会群体的成员需要从不同的种群中选择配偶）。基因流动是指基因从一个基因库移动到另一个基因库的过程。基因流动会导致杂交（后代在某些方面与父母不同）。理论上，这种交配会产生杂种优势，即后代比父母更优秀。（现代夏威夷人是一个由波利尼西亚人、欧洲人和亚洲人混合而成的杂交种群，以其体型、健康和活力而闻名。）基因流动的效应之一是，在过去的400年里，中美洲和南美洲形成了一种新的表型（生物体的物理或外观，与基因型相对，基因型是生物体的实际遗传组成）。这种表型是在当地居民的基因库与西班牙殖民者的基因以及他们作为奴隶进口的非洲人的基因混合时形成的。

Gene Flow. On the other hand, some breeding populations exchange genes with members of different gene pools (members of some societies are required to choose mates from a different population group). Gene flow is the term that denotes the movement of genes from one genetic pool to another. Gene flow results in hybridization (the offspring look different in some respects from either parent). It is theorized that such matings result in hybrid vigor, or offspring that are better specimens than either parent. (Modern Hawaiians, a hybrid population that is a mixture of Polynesian, European, and Asian populations, are noted for their size, good health, and general vigor.) One effect of gene flow has been the establishment, in the last 400 years, of a new phenotype (the physical, or outward, appearance of an organism, as opposed to the genotype, which is the actual genetic composition of an organism) in Central and South America. This phenotype was formed when the gene pool of the native populations mixed with genes of the Spanish colonists as well as with those of the Africans whom they imported as slaves.

物种形成。变异的终极形式是一个物种进化成另一个物种。新物种的形成，或称物种形成，是指两个或多个原始物种群体彼此隔离，并随着时间的推移，通过适应各自的环境，发生显著的基因变化，以至于它们无法再相互繁殖。（只有同一物种的成员才能通过繁殖交换基因。不同物种的成员可以交配，甚至繁殖，但后代要么死亡，要么不育。）达尔文曾用物种形成来解释人类、猴子和猿类源自共同的灵长类祖先这一事实。

Speciation. The ultimate form of variation is the evolution of one species into another. The development of a new species, or speciation, occurs when two or more groups of an original species become isolated from one another and, in time, by adapting to their separate environments, develop such profound genetic changes that they can no longer breed with one another. (Only members of the same species can exchange genes through reproduction. Members of different species can mate, even reproduce, but the offspring will either die or be infertile.) Speciation was used by Darwin to explain the fact that humans, monkeys, and apes descended from a common primate ancestor.

这里需要指出的是，我们称之为种族的人类差异并非指独立物种，而是同一物种的细微变异。外貌差异源于基因流动、遗传漂变和迁徙。显然，有些人类群体由于地理和文化原因无法通婚，但所有人类群体都可以通婚。

It should be pointed out here that the variations among humans we call races are not separate species but slight variants of a single species. Differences in appearance are due to gene flow, genetic drift, and migration. It is clear that some human groups do not interbreed because of geographic and cultural reasons, but all human groups can interbreed.

自然选择与适应。我们列举的这些过程会导致基因库发生变化，从而导致特定种群发生变化，但变化本身并不一定对种群有利。变化必须适应特定的环境，或者说适应环境。适应是一种干预过程，它确保生物体能够对其环境进行有益的调整，而它通过自然选择的过程来实现这一点。正如我们之前所见，自然选择是指一种进化过程，在这种进化过程中，特定地点的环境中存在的某些因素会施加压力，选择一些个体进行下一代的生存和繁殖，而其他个体则不会受到青睐。因此，自然选择不是一个随机的过程，而是一个导致生物体适应环境的过程。该过程可能采取定向选择的形式，其中促进基因频率的变化（因为需要适应新环境），或者可能采取稳定选择的形式，其中自然选择促进现状而不是改变（因为改变不利于生物体对其环境的适应）。

Natural Selection and Adaptation. The processes we have enumerated produce changes in gene pools and, thus, changes in specific populations, but change in itself is not necessarily advantageous to the population. Changes must fit a specific environment, or be adapted to it. Adaptation is a process that intervenes to ensure that organisms achieve an adjustment to their environment that is beneficial, and it does so through the process of natural selection. As we saw earlier, natural selection is the name given to the evolutionary process in which certain factors present in the environment of a specific location exert pressure in such a way that they select some individuals for survival and reproduction of the next generation, whereas others are not so favored. Natural selection, then, is not a random process but one that leads to an organism’s adaptation to the environment. The process may take the form of directional selection, in which change in gene frequencies is promoted (because an adaptation to a new environment is needed), or it may take the form of stabilizing selection, in which natural selection promotes the status quo rather than change (because change would be detrimental to the organism’s adaptation to its environment).

从对进化论的简单回顾中，我们可以得出一些重要的结论。首先，人类进化不仅仅是由DNA遗传密码承载的高度复杂的生化事件；它还涉及文化行为模式，例如在交配行为、迁徙、隔离、战争等方面的文化模式。其次，通过提供两种遗传物质来源（来自母亲和父亲），有性生殖系统确保了在遗传物质的多样性方面存在均衡的变异范围。遗传特征。后代在很多方面与其父母和祖先相似，但绝非完全相同的复制品。第三，自然选择和通过基因突变、遗传漂变和基因流动进行的适应过程，通过逐步淘汰某些特征并传递其他特征，不断改变着种群的遗传组成。最后，不应假设每个种群的每个特征都是适应和选择的结果。种群间一些可见的差异可能是偶然的遗传漂变造成的。

A number of important conclusions can be drawn from this simplified review of the theory of evolution. First, human evolution is not just a matter of highly complex biochemical events carried on by the DNA genetic code; it also involves cultural patterns of behavior such as occur in mating practices, migrations, isolation, wars, and so on. Second, by providing two sources of genetic material (from the mother and the father), the sexual reproduction system ensures the existence of a balanced range of variation in genetic traits. Offspring resemble their parents and ancestors in many ways but are never identical copies of them. Third, the processes of natural selection and adaptation through mutation, genetic drift, and gene flow are responsible for constantly changing the genetic composition of a population through a progressive weeding out of some characteristics while passing on others. Finally, it should not be assumed that every feature of every population is the result of adaptation and selection. Some of the visible differences among populations may be due to accidental genetic drift.

漫长的跋涉：人类进化

The Long Trek: Human Evolution

人类漫长的进化历程始于哺乳动物的出现。这些最初体型微小、微不足道的动物在古新世（距今6500万至5500万年前）出现在地球上（表2.1；另见介绍地球地质历史的网站）。它们在夜间以植物、昆虫、卵和蠕虫（它们是肉食动物）为食，以避开白天主宰生活的巨型爬行动物。夜间进食使它们习惯于在较冷的温度下活动，并最终进化出温血动物。反过来，由于温血动物的存在，它们能够比冷血爬行动物在更广泛的气候和温度范围内生存。当地球地质发生巨大变化，气候变得寒冷干燥，沼泽地消失时，这种能力变得弥足珍贵；大型爬行动物无法适应并最终消失，而小型哺乳动物则适应并幸存下来。

The long evolutionary journey of humans begins with the appearance of mammals. These initially small, insignificant animals made their appearance on earth during the Paleocene epoch, or 65 to 55 million years ago (Table 2.1; see also Web sites dealing with the geological history of the earth). They fed at night on plants, insects, eggs, and worms (they were flesh eaters) to stay out of the way of the gigantic reptiles that dominated life during the day. Night feeding accustomed them to being active in cooler temperatures and eventually led to their developing warm blood. In turn, with warm blood they could survive in a wider range of climates and temperatures than could the cold-blooded reptiles. This ability became invaluable when great changes in the geology of the earth resulted in a cooler and drier climate and the disappearance of swamplands; the large reptiles could not adapt and eventually disappeared, but the small mammals adjusted and survived.

灵长类动物是哺乳动物中的一种，出现于始新世，距今约 5500 万至 5000 万年前，生活在覆盖地球大部分地区的森林中的树上。灵长类动物是哺乳动物的一个目，包括猴、猿和人类（表2.2）。它们逐渐发展出大脑、感觉器官、四肢和生殖系统（此时被称为原猴），并对森林环境和生存条件的适应为下一步进化做好了准备。

One order of mammals, the primates, appeared during the Eocene epoch, about 55 to 50 million years ago, and took to the trees in the forests that covered most of the earth. Primates are an order of mammals to which monkeys, apes, and humans belong (Table 2.2). They gradually developed brains, sense organs, limbs, and reproductive systems (at which point they are called prosimians), and their adaptation to the environment and living conditions of the forest prepared them for the next evolutionary step.

表 2.1 哺乳动物进化的主要里程碑

TABLE 2.1 Major Milestones in the Evolution of Mammals

数以百万计的年

Years, in Millions

期间

Periods

时代

Epochs

生命形式

Life Forms

345

石炭纪

Carboniferous

最早的爬行动物

Earliest reptiles

280

二叠纪

Permian

具有哺乳动物特征的爬行动物

Reptiles with mammal-like traits

230

三叠纪

Triassic

180

侏罗纪

Jurassic

最早的哺乳动物

Earliest mammals

135

白垩纪

Cretaceous

古新世

Paleocene

最早的灵长类动物或类灵长类哺乳动物

Earliest primates or primate-like mammals

始新世

Eocene

最早的猴猿祖先

Earliest monkey-ape ancestors

三十四

渐新世

Oligocene

中新世

Miocene

上新世

Pliocene

最早的类人猿

Earliest hominids

更新世

Pleistocene

表 2.2 人类在动物界的地位

TABLE 2.2 The Place of Humans in the Animal Kingdom

王国

Kingdom

动物界

Animalia

由具有有限生长期和活动能力的生物组成，包括从变形虫到哺乳动物的动物。

Consists of living creatures with a limited growth period and the ability to move. Includes animals from amoebas to mammals.

门

Phylum

脊索动物

Chordata

具有内部僵硬结构的生物，例如脊髓。

Beings with an internal stiff structure, such as a spinal cord.

亚门

Subphylum

脊椎动物

Vertebrata

脊索动物门的动物，脊柱分节。

Animals from the phylum Chordata with a segmented spinal column.

班级

Class

哺乳动物

Mammalia

具有这些特征的动物：温血、毛发、汗腺、四腔心脏、用于哺育幼崽的乳房、用于呼吸的横膈膜。

Animals with these features: warm blood, hair, sweat glands, four-chambered heart, breasts for feeding the young, diaphragm for breathing.

子类

Subclass

真兽类

Eutheria

妊娠足月后生育幼崽的胎盘哺乳动物。

Placental mammals who bear their young after a full-term pregnancy.

命令

Order

灵长类动物

Primates

胎盘哺乳动物，具有抓握能力，胸部有两个乳房，每次生育数量少，妊娠期和婴儿期都较长。猴、猿和人类都是灵长类动物，拥有良好的视力和骨质眼窝。

Placental mammals with grasping hands, two breasts on the chest, a small number of offspring per birth, long pregnancies, and long periods of infancy. Monkeys, apes, and humans are primates that share good vision and a bony eye socket.

子订单

Suborder

类人猿总科

Anthropoidea

包括猴子、猿和人类。

Includes monkeys, apes, and humans.

超家族

Superfamily

人科

Hominoidea

灵长类动物根据牙齿特征来定义，包括猿和人类。

Primates de_ned by dental traits. Includes apes and humans.

家庭

Family

人科

Hominidae

现代人类及其最接近的祖先南方古猿和直立人。

Modern humans and their closest ancestors, Australopithecus and Homo erectus.

属

Genus

人类

Homo

包括直立人、尼安德特人和现代人类。

Includes Homo erectus, Neanderthals, and modern humans.

物种

Species

智人

Sapiens

尼安德特人和现代人类。

Neanderthals and modern humans.

种类

Variety

智人

Sapiens

所有现代人类，即所有现存种族。

All modern humans, i.e., all living races.

大约3500万年前，这群极其成功的树栖动物开始进化，首先进化成猴子，体型比它们的祖先更大，并且喜欢植物。不久之后，它们进化成了猿类。猿类仍然比它们的祖先体型更大，并且更擅长用三肢悬挂在树枝上，用第四肢采摘果实。最终，一些猿类从树上下来，尝试在地面上生存。这种环境变化的原因可能是气候：地球再次发生变化，森林被开阔的林地所取代，后来又变成了长满草的稀树草原。

This highly successful group of tree dwellers began, about 35 million years ago, to evolve first into monkeys, larger in size than their predecessors and fond of plants, and a little later into apes. The apes were still larger than their forebears and more adept at hanging from branches with three limbs while picking fruit with the fourth. Eventually, some apes came down from the trees to attempt survival on the ground. The reason for this change of environment was probably climatic: the earth was changing once more, with forests giving way to open woodlands and later to grassy savannas.

这些猿类被称为人科，也就是说，它们属于人科超家族（表2.2）。其中，腊玛古猿更偏向陆生，适应开阔地带。由于它们的外貌与人类颇为相似，一些学者认为它们的化石遗骸（称为腊玛古猿）属于人科，也就是说，它们属于人科，而人科只有人类才属于这一家族。如今，这种观点已不复存在。（现在有很多关于灵长类动物进化的网站。）

These apes are referred to as hominoids, that is, they belong to the superfamily hominoidea (Table 2.2). Of those, the ramapithecines were more terrestrial and adapted to the open country. Because they also had a rather humanlike appearance, some scholars assumed that their fossil remains, named Ramapithecus, were those of hominids, that is, that they belonged to the family hominidae, to which only humans belong. This view is no longer held today. (There are many Web sites on primate evolution.)

黑猩猩和人类之间的分裂

Split between Chimpanzee and Human Lines

人科动物与其他灵长类动物的不同之处在于，它们是双足动物（用两只脚行走），脑容量较大，面部较小且不突出，牙齿较小，在颌骨上呈曲线排列。根据分子分析，人科动物与人科动物的分化似乎发生在700万至500万年前，一些研究结果则指向更早的时期，大约1300万年前（Relethford，2000，312；Wilford，2004，A8）。

Hominids differed from other primates in that they were bipeds (they walked on two feet), and they had large brains, smaller and non-protruding faces, and smaller teeth arranged in a curve on the jaws. Based on molecular analysis, it appears that the split between hominoid and hominid occurred between 7 and 5 million years ago, and some findings point to an even earlier time, about 13 million years ago (Relethford, 2000, 312; Wilford, 2004, A8).

从人类分化时期到智人（现代人类的学名）出现的类人猿进化史，一直是体质人类学、古生物学和考古学的研究课题。许多科学家都参与了这一领域的研究，而新的化石发现也常常会修正化石记录。许多网站都对这个引人入胜的主题进行了详尽的介绍。现代人类可能由世界各地相继出现的类人猿和智人祖先独立进化而来。事实上，智人究竟起源于非洲还是多地区，这个问题至今仍未得到解决。最新的化石研究似乎表明，在至少300万年的有记载的历史中，人类谱系局限于非洲，并至少包含两个主要的分支，最终遍布全球。（请在众多网站上关注古生物学家、人类学家和考古学家的研究成果。）

The evolution of hominids from the time of the split to the appearance of Homo sapiens, the scientific name of modern humans, is the subject matter of physical anthropology, paleontology, and archaeology. A great number of scientists have been involved in research in this area, and the fossil record has often been corrected when new fossil finds occur. This fascinating subject has been exhaustively presented in a number of Web sites. Modern humans may have developed independently in various parts of the world from successive hominid and Homo ancestors. In fact, the issue of whether Homo sapiens has a single African origin or a multiregional origin has not yet been resolved. The latest fossil research seems to indicate that for at least 3 million years of recorded history the human line was confined to Africa, that it consisted of at least two major subdivisions, and that eventually the line dispersed throughout the globe. (Follow the work of paleontologists, anthropologists, and archaeologists on the many Web sites available.)

如上所述，从类人猿到现代人类的进化发展线处于史前时期，因此我们对此的看法是基于对化石遗骸的推测和有根据的猜测。显而易见的是，1000万年前，世界充满了猿类，而500万年前出现了类人猿（Gee，2002）。类人猿主要生活在树上（它们的大脚趾适合抓握树枝），但它们能够直立行走——不像黑猩猩或大猩猩那样使用指关节行走。它们还拥有强壮的拇指和灵活的手指，预示着后来人类使用工具的技能。最终，一些类人猿开始直立行走。研究人员推测，这是因为它解放了雄性类人猿的手臂，以便它们将肉食和可食用的植物带给雌性，以换取与雌性的性接触。事实上，即使在今天，类人猿和黑猩猩仍在争夺这种性接触。但类人猿为了繁衍后代，开始与雌性建立临时关系，以避免争夺交配特权。

As noted, the evolutionary line of development from hominids to modern humans is in the realm of prehistory, and thus our view of it is based on speculation and educated guesswork about fossilized remains. All that seems to be apparent is that 10 million years ago, the world was full of apes, whereas 5 million years ago hominids appeared (Gee, 2002). Hominid species lived preponderantly in trees (their big toe was suited for grasping branches), but they were capable of walking upright—they did not knuckle-walk like chimps or gorillas. They also had strong thumbs and flexible fingers, presaging later human skills of tool use. Eventually, some hominids began to walk upright. Researchers speculate that it was because it freed the arms of male hominids to bring meat and edible plants to the females in exchange for sexual access to them. In fact, apes and chimps fight for such access, even today. But hominids began to form temporary relationships with females for the purpose of reproduction, avoiding the necessity to fight for the privilege of mating.

古人类学家现在认为，现代人类并非从他们的类人猿祖先直线进化而来。相反，更有可能的是，不止一个类人猿群体曾并存。大约100万年前，只剩下一种类人猿，这让科学家有理由相信，某种事件破坏了它们的共存。

Paleoanthropologists now think that modern humans did not evolve in a straight line from their apelike precursors. Rather, it seems more likely that more than one group of hominids lived side by side. By approximately 1 million years ago, only one type of hominid remained, giving scientists reason to believe that something happened to destroy their coexistence.

最新研究得出结论，黑猩猩与人类之间的差异主要在于它们各自大脑的基因活动。科学家们早就知道，黑猩猩的DNA与人类的DNA有98.7%的同源性。但他们无法确定这些差异的根源。然而，当他们开始在基因层面探究这些差异时，却发现人类和黑猩猩的基因在运作脑细胞时表现出截然不同的活动模式。

Newer findings have concluded that the differences between chimps and humans lie most especially in the genetic activity of their respective brains. Scientists have long been aware that chimp DNA is 98.7 percent identical to human DNA. What they could not determine was the origin of the differences. When they began to probe differences on the genetic level, however, they found that human and chimp genes show very different patterns of activity in operating brain cells.

现代人类：通往智人之路

Modern Humans: The Road to Homo Sapiens

基于遗传和考古数据的新研究支持了以下假设：行为上完全现代的人类起源于撒哈拉以南非洲。这些人类取得了重要的文化进步：他们拥有语言、某种类型的船只或木筏，以及更为精巧的石器。此时，他们开始走出非洲，在距今6.5万至2.5万年之间到达欧洲和亚洲，而欧洲的迁徙时间可能更接近距今4.5万至3.5万年（Wilford，2007，1-3）。研究人员认为，这些人类已成为肉食者，并正在寻找更广阔的狩猎区域（Wilford，2000，1，A28）。

New studies based on genetic and archaeological data support the hypothesis that behaviorally fully modern humans originated in sub-Saharan Africa. These humans had made important cultural improvements: they had language, some type of boats or rafts, and more sophisticated stone implements. At this point, they began to move out of Africa, reaching Europe and Asia between 65,000 and 25,000 years ago and probably closer to 45,000 to 35,000 years ago for Europe (Wilford, 2007, 1–3). The researchers believe that these humans had become meat eaters and were searching for a wider area in which to hunt animals (Wilford, 2000, 1, A28).

智人（现代人类的物种标签）的确切化石仅可追溯到 75,000 年前，但 2005 年初，研究人员发现证据表明，在埃塞俄比亚图尔卡纳湖发现的骨骼大约有 195,000 年的历史。其中最著名的是尼安德特人的化石遗骸，其中一些人在 36,000 年前还居住在西欧（典型的尼安德特人），而其他一些则在亚洲、非洲和欧洲发现。我们从尼安德特人那里得到了“穴居人”的刻板印象，因为他们有厚厚的头骨、厚重的眉脊、宽阔的鼻子、低额头，下巴很小。这些特征，以及矮壮、肌肉发达的体格，可能是对当时西欧冰川气候的适应。尼安德特人使用的工具比他们的祖先更为复杂，他们生活在相对稳定的社群中，以洞穴为住所，并以仪式和鲜花埋葬死者，这表明他们已经发展出仪式，并且可能相信来世的存在。他们可能使用一种原始的语言相互交流。

Definite fossils of Homo sapiens sapiens (the species label for modern humans) date back only 75,000 years, but in early 2005 researchers uncovered evidence that bones found in Ethiopia’s Lake Turkana are roughly 195,000 years old. The best known of these are the fossil remains of the Neanderthals, some of whom inhabited Western Europe as recently as 36,000 years ago (the classic Neanderthals), while others were found in Asia, Africa, and Europe. It is from the Neanderthals that we derive the stereotype of the “caveman,” for they had thick skulls, heavy brow ridges, broad noses, low foreheads, and not much chin. These features, as well as a short, stocky, and muscular body build, may have been adaptations to the glacial climate of Western Europe at the time. Neanderthals used much more sophisticated tools than their predecessors, lived in fairly settled communities, used caves for shelter, and buried their dead with ceremonies and flowers, indicating the development of ritual and the possibility that they believed in an afterlife. They probably used a primitive type of language to communicate with one another.

科学家们对于尼安德特人是否是现代人类的祖先或前体，意见不一。一方面，来自3万年前尼安德特人骨骼的遗传物质（DNA）似乎表明，尼安德特人并未与现代人类杂交，尽管这两个物种可能曾经共存。事实上，这项测试促使进行测试的科学家得出结论，尼安德特人“很早就脱离了我们的谱系，这强化了他们与现代人类是不同物种的观点”（Wade，1997，A14）。另一方面，古生物学家最近研究了在葡萄牙发现的一具2.45万年前的男孩骨骼，并得出结论，该男孩是混血儿。这一发现促使科学家们假设尼安德特人与现代人类共存了数千年，而且，他们与现代人类同居并杂交。他们怀疑尼安德特人和智人并非两个独立的物种或亚种，而是两个将彼此视为合适伴侣的群体。这一发现或许会推翻现代人类起源于非洲的假说，并支持多区域连续性理论。

Scientists do not agree whether or not the Neanderthals are the ancestors or precursors of modern humans. On the one hand, genetic material (DNA) from the bones of a 30,000-year-old Neanderthal seems to indicate that Neanderthals did not interbreed with modern humans, even though the two species may have coexisted. The test, in fact, prompted the scientists who performed it to say that Neanderthals “diverged away from our line quite early on, and this reinforces the ideas that they are a separate species from modern humans” (Wade, 1997, A14). On the other hand, paleontologists have recently examined the 24,500-year-old skeleton of a young boy discovered in Portugal, and their conclusion was that he was a hybrid. This discovery has prompted scientists to hypothesize that Neanderthals and modern humans coexisted for thousands of years, and moreover, that they cohabited and interbred with modern humans. They suspect that Neanderthals and Homo sapiens were not two separate species or subspecies, but two groups that thought of each other as appropriate mates. This discovery may undermine the out-of-Africa hypothesis of modern human origins and bolster a multiregional continuity theory.

图 2.2如今的美国是一个异质化的社会，汇聚了来自世界各地的人们。然而，人们外貌的差异源于他们先前的基因隔离，以及基因漂变和基因流动的影响。

IMAGE 2.2 The United States is a heterogeneous society now, containing people from all over the globe. The differences in the outward appearance of people, however, derive from their former genetic isolation and from the effects of genetic drift and gene flow.

iStock：© ferrantraite

iStock: © ferrantraite

过去20年的进展对化石年代鉴定起到了至关重要的作用：科学家最近从一块距今约40万年的化石中提取出了古人类DNA。这块化石的年代早于尼安德特人，这促使科学家们推测，可能存在许多灭绝的人类种群，但它们之间进行了杂交并交换了DNA（Zimmer，2013）。一些被认为更古老的化石——一块据信有180万年历史的头骨——被发现，促使学者们得出结论，许多人属物种可能代表了同一进化物种成员之间的变异（Wilford，2013）。

Advances in the past 20 years have been instrumental in helping to date fossils: scientists have recently retrieved ancient human DNA from a fossil dating back about 400,000 years. This fossil predates the Neanderthals, forcing scientists to speculate that there may have been many human populations that became extinct, but that interbred and exchanged DNA (Zimmer, 2013). Fossils believed to be even older—a skull believed to be 1.8 million years old—have been discovered, prompting scholars to conclude that a number of species of the genus Homo may have represented variation among members of a single evolving species (Wilford, 2013).

在法国中南部的一处遗址发现了距今约3.5万至3万年的克罗马农人化石遗骸。这些化石被明确归类为智人（Homo sapiens）。克罗马农人身材高大，骨骼轻盈，额头高耸，脸型和下颌较小，下巴明显，眼周和后脑勺上几乎没有或几乎没有脊线。他们也以狩猎采集为生，但由于数量似乎有所增加，他们肯定更能有效地提供持续的食物供应。他们洞穴壁上留下的精美壁画表明他们对周围环境有一定的敏感性，并且早期尝试过艺术创作，或许是为了服务于宗教信仰。根据人口遗传学家的说法，如今法国和西班牙的巴斯克人很可能是克罗马农人——第一批真正意义上的现代人——的最直系后裔（Subramanian，1995，55）。

Found at a site in south central France and dating from about 35,000 to 30,000 years ago are fossilized remains of Cro-Magnon humans. These are definitely classified as belonging to Homo sapiens sapiens. The Cro-Magnon were tall and light-boned and had high foreheads, smaller faces and jaws, definite chins, and slight or no ridges over the eyes and in the back of the head. They were also hunters and gatherers, but they must have been more efficient at providing a constant food supply because their numbers seem to have increased. The beautiful paintings they left on the walls of their caves indicate a certain sensitivity to their surroundings and an early attempt at art, perhaps in the service of religious beliefs. According to population geneticists, today’s Basques of France and Spain are very likely the most direct descendants of the Cro-Magnon people, the first really modern humans (Subramanian, 1995, 55).

克罗马农人和其他智人种群在公元前4万年至公元前12,000-8,000年间在旧大陆（欧洲、非洲和亚洲）定居。一些智人似乎在大约4万年前的冰河时代抵达了新大陆，他们可能是通过白令海峡上的陆桥抵达的。然而，人类在西半球存在的确凿证据最早仅能追溯到14,000年前（Rincon，2004）。我们与这些远古祖先拥有大部分相同的体貌特征。他们的活动将我们带入了史前史的最后阶段，该阶段以农业的发明而告终。许多网站对此进行了更详细的探讨。

The Cro-Magnons and other groups of Homo sapiens were well established in the Old World (Europe, Africa, and Asia) from 40,000 BC to 12,000–8,000 BC. Some of the Homo sapiens appear to have arrived in the New World about 40,000 years ago, during the Ice Age, probably via a land bridge across the Bering Strait. However, the earliest hard evidence of a human presence in this hemisphere goes back only 14,000 years (Rincon, 2004). We share most of our physical features with these distant ancestors. Their activities bring us to the last period of prehistory, which ends with the invention of agriculture. A large number of Web sites deal with the subject in much more detail.

农业：耕作和驯化

Agriculture: Cultivation and Domestication

新石器时代始于约12,000至10,000年前，人类从觅食过渡到驯养动植物。这一缓慢的过渡最终使狩猎、采集和捕鱼的人们转变为食物生产者，标志着生存方式和经济的急剧变革。真正的农耕之前，人类已经驯养动植物。这是一个进化过程，在这个过程中，人类有意或无意地改变某些动植物的基因构成，使其最终无法在没有人类干预的情况下生存或繁殖。

During what is called the Neolithic, or New Stone Age, which began about 12,000 to 10,000 years ago, a transition from foraging for food to domesticating plants and animals occurred. This slow transition eventually transformed hunting, gathering, and fishing peoples to food producers, representing a dramatic change in the manner of subsistence and the economy. Actual farming was preceded by the domestication of plants and animals, an evolutionary process in which humans, intentionally or unintentionally, alter the genetic makeup of certain plants or animals, so that the latter are finally unable to survive or reproduce without human intervention.

冰川消融使地球变得更加温暖湿润，有利于植被的蔓延，包括野生小麦和大麦等草类。这类植被吸引了成群的动物，而动物又吸引了狩猎者和采集者，他们找到了现成的食物来源，因此可能放弃了游牧生活。驯化带来了更美味的植物和更安全的食物来源。

The retreating glaciers left the planet warmer and wetter, favoring the spread of vegetation, including such grasses as wild wheat and barley. This type of vegetation attracted herds of animals, which in turn attracted hunters and gatherers, who found a ready supply of food and so may have abandoned their nomadic ways. Domestication resulted in a better-tasting plant and a more secure source of food.

驯化最终导致了农业——即有意识地种植食物——的出现，人们认为农业在几个地区独立出现，尽管可能并非同时出现。世界上最早的农民可能居住在近东地区，即所谓的“肥沃新月”（图2.1）。这片2000英里长的弧形地带包括以色列、黎巴嫩、约旦、叙利亚、土耳其南部、伊拉克的部分地区，一直延伸到波斯湾的顶端。主要作物包括小麦、大麦、豆类、葡萄、瓜类、椰枣、开心果和杏仁。第一批驯养的动物——绵羊、山羊、猪和牛——也出现在该地区。其中一些作物在公元前7000年至公元前2500年间从新月沃土传播到欧洲和亚洲，但玉米在美洲成为栽培作物还要再过几千年。这是因为这里没有原生的野生小麦或大麦，而玉米的驯化需要更复杂的生物重组。（请在网上阅读有关农业起源的文章。）

Domestication eventually led to agriculture—the deliberate growing of food—which is thought to have appeared in several areas independently, although perhaps not at the same time. The world’s very first farmers were probably inhabitants of the Near East, in the region called the Fertile Crescent (Figure 2.1), a 2,000-mile arc that includes parts of Israel, Lebanon, Jordan, Syria, southern Turkey, Iraq, all the way to the head of the Persian Gulf. Among the chief crops were wheat, barley, legumes, grapes, melons, dates, pistachios, and almonds. The first domesticated animals—sheep, goats, pigs, and cattle—also appeared in this region. Some of these crops spread from the Fertile Crescent across Europe and Asia between 7000 BC and 2500 BC, but it was several thousand more years before maize or corn became a cultivated crop in the Americas. This was because there was no native wild wheat or barley here, and the domestication of maize requires a more sophisticated biological reorganization. (Read about the origins of agriculture on the Web.)

图 2.1这片绵延 2000 英里的区域从现代以色列和约旦延伸至伊朗和波斯湾，被称为“新月沃土”。它被认为是农业的发源地。

FIGURE 2.1 This 2,000-mile-long area extending from modern Israel and Jordan to Iran and the Persian Gulf is called the Fertile Crescent. It is considered to be the birthplace of agriculture.

新月沃土的自然条件十分优越，很快就吸引了大批人口迁徙。最终，该地区人口过剩，一些人被迫迁徙，迁往食物匮乏的地方。为了补充原本贫瘠的植物资源，这些移民将一些野生小麦和大麦的种子移植到季节性溪流附近，在那里它们茁壮成长。就这样，农业传播到了其他地区。

The Fertile Crescent was an area in which natural living conditions were very favorable, and it soon attracted large concentrations of people. Eventually, the region became so overpopulated that some people were forced to leave and retreat to locations where food was less abundant. To supplement their more meager supplies of plants, these emigrants transplanted some of the seeds of the wild wheat and barley near seasonal streams, where they flourished. In this manner, agriculture spread to other areas.

随着农业的兴起，永久定居点也随之而来，剩余物资也随之而来。人性的二分法由此诞生：当某种确定的生存优势出现时，劣势也几乎同时出现。事实上，剩余物资的后果之一就是战争，因为一些群体试图攫取其他群体的剩余物资。人口以惊人的速度增长，城市应运而生，这需要开发更多复杂的社会结构。最终，文字出现了，人类历史的记录开始了。

With agriculture came permanent settlements as well as surpluses. Here begins the dichotomy of human nature: when a definite advantage to survival emerges, a disadvantage also appears almost concurrently. One of the results of surpluses, in fact, was warfare, as some groups tried to appropriate the surpluses of others. Populations grew at phenomenal rates, and cities came into being, requiring the development of ever more sophisticated social structures. Eventually, writing appeared, and the recorded portion of the history of humanity began.

人性的进化

The Evolution of Human Nature

早在有记载的历史之前，我们的祖先就已在磨练我们通常所说的“人性”。也就是说，他们逐渐形成了习俗和习惯，这些习俗和习惯有助于他们在特定环境中生存，同时也使他们有别于其他动物。这种差异通常源于生物学，但会产生社会后果。

Long before recorded history, our ancestors were honing what we commonly call “human nature.” That is, they were evolving customs and habits that aided survival in specific environments and, at the same time, differentiated them from other animals. This differentiation usually had biological origins but social consequences.

生物学基础

Biological Foundations

即使在类人猿阶段，人类生理学的某些进化发展也成为了后来出现的某些社会结构的先驱。例如，双足行走的出现可能是因为类人猿在稀树草原的茂密草丛中行走时更容易看到捕食者和猎物。直立行走也解放了两条腿，以便将食物和幼崽从一个地方搬运到另一个地方。双手的使用也可能导致了人类使用工具来挖掘树根或运输物品。

Even at the hominid stage, certain evolutionary developments in the physiology of humans became the precursors of some of the social structures that were to come into existence. For example, walking on two legs may have developed because it was easier for the hominids to see both predators and prey as they walked in the tall grass of the savanna. Walking upright also freed two of the limbs for carrying things, food and their young, from one place to another. Having the use of hands may also have led to the use of tools for digging roots or transporting objects.

反过来，对如何使用工具和提高生存机会的思考导致了大脑的增大。一个必须通过直立行走女性产道的脑容量更大的婴儿出生时体型较小，因此尚未成熟。这样的婴儿必须长期依赖母亲，而背负无助婴儿的母亲本身也无法有效地抚养孩子。因此，根据性别进行劳动分工成为生存的必需。即使怀里抱着婴儿，雌性也能寻找植物和根茎，但两者都依赖雄性偶尔提供肉食，即狩猎的产物。人类独特的食物分享习惯以及家庭制度或许可以追溯到这些起源。

In turn, thinking about how to use tools and improve chances for survival led to enlargement of the brain. A bigger-brained infant that had to pass through the birth canal of an upright-walking female had to be born small in body, thus still immature. Such an infant had to remain dependent on its mother for a long time, and a mother saddled with a helpless infant was herself not a very effective provider. Hence, a division of labor according to sex became a necessity for survival. Females were able to forage for plants and roots even with an infant in their arms, but both depended on males for occasional meat, the product of the hunt. The distinctively human habit of food sharing, as well as the institution of the family, may be traced to these beginnings.

许多其他社会过程和结构源于生物适应机制。人类女性失去了发情期（周期性性接受），开始始终处于性接受状态。这有助于她们与特定的男性建立更牢固的联系，减少男性之间对女性的竞争（每对男性和每对女性都可以组成一对），并使受到两个成年人保护的儿童受益。基于互惠利他主义（“己所不欲，勿施于人”）的初步道德体系应运而生，乱伦禁忌也应运而生，旨在迫使个体在自己的家庭或群体之外选择性伴侣，从而最大限度地减少群体之间的敌对行为。感激、同情和友谊等情感可能已经出现，内疚、羞耻和道德义愤也同样如此，所有这些都是维系群体凝聚力和使个体忠诚于群体的必要社会工具。

Many other social processes and constructs resulted from mechanisms of biological adaptation. Human females lost their estrus (periodic sexual receptivity) and began to be sexually receptive all the time. This helped them forge stronger bonds with specific males, lessened competition among males for females (each male and female could form a pair), and benefited the children, who had the protection of two adults. Rudimentary moral systems based on reciprocal altruism (“do unto others as you would have them do unto you”) came into being, as did the incest taboo, designed to force individuals to choose their sexual partners outside their own family or troop, thus minimizing hostilities among troops. Feelings such as gratitude, sympathy, and friendship may have emerged, as well as guilt, shame, and moral indignation, all necessary social tools for keeping groups together and making the individual loyal to the group.

当群体发展到相当庞大和复杂的程度时，某种形式的组织就显得尤为重要。大多数灵长类动物的特点是自发组织成部队，选举领导者并建立统治等级。人类也遵循了这种趋势，很快便出现了各种各样的部落联盟和联盟。在群体环境中，需要制定和遵守更多规则，并因此记住这些规则。自然选择会青睐那些学习能力最强、记忆力最持久的个体，以及那些能够抑制暴力冲动的个体。

When groups had grown to fairly large size and complexity, some type of organization was needed. It is a characteristic of most primates that they organize themselves into troops, choosing leaders and hierarchies of dominance. Humans followed this tendency, and soon there were tribal unions and confederations of various sorts. In a group setting, more rules have to be developed and followed, and thus remembered. Natural selection would favor the individuals who learned best and remembered longest, as well as those who could inhibit violent impulses.

火的发现极大地促进了社会组织的进步和社会体系的发展。火的驯化使人类能够迁徙到更远的寒冷地区，使掠食者远离营地，并居住在洞穴中，所有这些都有助于生存。火也促进了食物的烹饪，而较软的食物火重塑了人类面部的轮廓。火可能促进了性格的改变，增强了社交能力，增加了对话，从而进一步发展了语言。最后，火可能在宗教习俗的发展中发挥了独特的作用。

Progress in social organization and the development of social systems were greatly enhanced by the discovery of fire. The domestication of fire allowed humans to wander farther into colder climates, to keep predators away from campsites, and to inhabit caves, all elements helpful to survival. Fire also encouraged the cooking of food, and the softer food reshaped the contours of the human face. Fire may have promoted personality changes, leading to sociability, an increase in conversation, and thus the further development of language. Finally, fire probably played a distinct role in advancing religious practices.

在大型狩猎出现、火的发现和农业发明之后的时期，早期人类开始与现代人极其相似。这些人类已经发展出相当丰富的文化，以及我们今天赖以生存的许多行为模式。从那时起至今，社会世界及其复杂性和矛盾性一直是进化论的研究对象。进化论能否解释人性，是当代许多科学家讨论的话题。

In the period following the advent of big game hunting, the discovery of fire, and the invention of agriculture, early humans began to resemble modern people to an extraordinary extent. These humans had already evolved a considerable culture, as well as many of the patterns of behavior by which we live today. From then until the present, the social world, with its complexities and contradictions, has been the subject of evolution. Whether evolution explains human nature is the subject of discussions among a number of contemporary scientists.

根据科学研究，宇宙大约有137亿年的历史。目前主流理论认为，宇宙起源于一次巨大的爆炸（“大爆炸”），这场爆炸是由亚微观、密度无限大、温度难以想象的纯能量团块向四面八方喷射而出，最终形成了辐射和物质。引力随后将物质拉向密度更高的区域，数十亿年后，这些区域形成了星系、恒星、行星以及宇宙中存在的一切。宇宙仍在膨胀，尽管我们尚不清楚膨胀是否会永远持续下去，还是最终会逆转并坍缩。

According to scientific research, the universe is around 13.7 billion years old. The currently dominant theory assumes that it began with a gigantic explosion (the “big bang”) that was the result of a submicroscopic, infinitely dense and unimaginably hot knot of pure energy that flew outward in all directions, eventually giving rise to radiation and matter. The force of gravity then drew the matter to denser regions, which, over billions of years, became galaxies, stars, planets, and everything that exists in the universe. The universe is still expanding, although we do not know whether expansion will continue forever or whether eventually it will reverse and collapse.

人们认为生命起源于能够在极热环境中生存的微生物，后来在海洋中发展出简单的单细胞生物，并获得了繁殖能力。这些生物体日益复杂，最终演化出动植物。当植物能够在陆地上生存时，环境已经准备好容纳大型爬行动物、飞鸟和小型哺乳动物等生物。哺乳动物是所有动物中最微不足道的，但它们适应能力强，能够在剧烈的气候变化中生存下来。灵长类动物是哺乳动物中的一个目，它们在覆盖地球的茂密森林中生活，并开始了进化过程，最终导致了人类的出现。

Life is thought to have originated in the form of microorganisms capable of surviving in an extremely hot environment, and later in the oceans, where simple one-celled organisms developed and acquired the ability to reproduce. Growing in complexity, these organisms eventually gave rise to plants and animals. When plants could survive on dry land, the environment was ready to house living things such as huge reptiles, flying birds, and small mammals. Mammals were the most insignificant of the animals, but they were adaptable and survived great climatic changes. One order of mammals, the primates, took to a life in the trees of the thick forests that were covering the earth and began an evolutionary process that culminated in the emergence of humans.

进化通过自然选择的过程实现，在这个过程中，拥有在特定环境中取得成功的特征的个体得以繁衍，而缺乏该特征的个体最终会灭绝。遗传学研究阐明了这一过程的运作方式。孟德尔发现，遗传性状要么是显性的，要么是隐性的。性状既不会混合，也不会完全消失。显性性状会表现出来，而隐性性状可能需要几代才会重新出现。物种的变异是由突变、基因流动、遗传漂变和迁徙造成的。

Evolution functions through a process of natural selection in which individuals who possess a feature that is successful in a given environment multiply, and those who lack that feature eventually die out. The study of genetics has clarified how this process works. Mendel found that inherited traits are either dominant or recessive. Traits are never blended, nor do they disappear completely. The dominant ones are expressed, and the recessive ones may wait several generations before reappearing. Variation in species is caused by mutation, gene flow, genetic drift, and migration.

气候变化促使进化适应，树栖灵长类动物从树上下来，变成双足动物，捕猎小型猎物。600 万到 400 万年前，灵长类动物开始分化，成为现代猴子和猿的先驱，以及人类的祖先。据信，许多前人类或类人猿曾一度共存，但最终只剩下智人，即“智人”。出现了大型猎物狩猎、基本的家庭和军队、男女之间的分工以及道德体系的基础等社会现象。火的发现和使用极大地改进了技术。尼安德特人和克罗马农人是两个早于现代人类出现的人种，后者与他们几乎没有区别。大约 8,000 年前农业的出现结束了人类漫长的史前时期。农业带来了人口爆炸式增长、永久定居点和城市的建立、战争和文字，人类历史的有记载部分由此开始。

Evolutionary adaptations prompted by climatic changes led the tree-dwelling primates to come down from the trees, become bipedal, and hunt small game. Between 6 and 4 million years ago, primates began to diverge into precursors of modern monkeys and apes, and ancestors of humans. It is believed that a number of prehumans, or hominids, coexisted at one time, but eventually only Homo sapiens, “wise man,” remained. Such social phenomena as big game hunting, rudimentary families and troops, a division of labor between males and females, and the fundamentals of a moral system appeared. Technology was greatly improved by the discovery and taming of fire. The Neanderthals and the Cro-Magnon were two species that preceded somewhat the emergence of modern humans, the latter being almost indistinguishable from them. The appearance of agriculture some 8,000 years ago closed the long period of human prehistory. Agriculture brought with it a population explosion, the establishment of permanent settlements and cities, warfare, and writing, with which the recorded portion of human history begins.

适应一种干预过程，以确保生物体能够对其环境进行有益的调整。

adaptation A process that intervenes to ensure that organisms achieve an adjustment to their environment that is beneficial.

染色体：基因的载体，或生物体的遗传蓝图。每个人从父母各继承一组23条染色体。

chromosomes Carriers of genes, or the hereditary blueprints of organisms. Each human inherits a set of 23 chromosomes from each parent.

克罗马农人是现代人类最接近的祖先，或者说是同时代的人，生活在约3.5万年前。他们是精通工具制造和艺术的艺术家，他们生活在部落中，部落制度和亲属关系制度依然存在。

Cro-Magnon The closest predecessors or perhaps contemporaries of modern humans, who lived about 35,000 years ago. They were expert toolmakers and artists, and they lived in tribes that displayed evidence of rules and kinship systems.

定向选择由于需要适应新环境，基因频率会发生变化。

directional selection Change in gene frequencies is promoted because an adaptation to a new environment is needed.

DNA脱氧核糖核酸。一种复杂的生化物质，是生命的基本组成部分。它决定着特定性状的遗传。

DNA Deoxyribonucleic acid. A complex biochemical substance that is the basic building block of life. It determines the inheritance of specific traits.

发情期性接受和受孕能力的时期。

estrus Period of sexual receptivity and ability to conceive.

进化论一种解释生物体变化和物种内部变异的理论。进化基于自然选择、突变、遗传漂变、基因流动和物种形成的过程。

evolution A theory that explains change in living organisms and variation within species. Evolution functions according to processes of natural selection, mutation, genetic drift, gene flow, and speciation.

基因流基因从一个基因库移动到另一个基因库。这会导致后代产生新的基因组合。

gene flow The movement of genes from one gene pool to another. It results in new combinations of genes in the offspring.

基因频率各种基因在近亲繁殖群体中出现的比例。

gene frequency The proportion in which the various genes occur in an inbreeding population.

基因库一个种群可供下一代继承的所有遗传物质。

gene pool All the genetic material available to a population to be inherited by the next generation.

基因传递个体特征的遗传单位。它们包含在染色体中，由DNA组成。

genes Hereditary units that transmit an individual’s traits. They are contained in the chromosomes and made up of DNA.

遗传漂变孤立小群体中特定性状频率的波动，使得孤立群体与其分离群体之间的明显差异变得明显。

genetic drift The fluctuations in frequencies of specific traits in a small, isolated population, so that visible differences between an isolated population and the population from which it broke away become obvious.

遗传学遗传的科学。

genetics The science of heredity.

基因型生物体的实际遗传组成，不一定表现出来。

genotype The actual genetic composition of an organism, which is not necessarily expressed.

类人猿用两只脚行走的人类前生物。

hominids Prehuman creatures who walked on two feet.

类人猿：从树上下来尝试在地面生存的猿类。它们属于灵长类超家族人猿。

hominoids Apes that came down from the trees to attempt survival on the ground. They belong to the primate superfamily hominoidea.

智人（Homo sapiens）指化石可追溯至7.5万年前（或许是19.5万年前）的物种，包括尼安德特人。现代人类的物种标签是“智人”（Homo sapiens sapiens），其化石可追溯至3万年前，包括克罗马农人。

Homo sapiens A species whose fossils date back 75,000 years (or perhaps 195,000 years) and includes Neanderthals. The species label for modern humans is Homo sapiens sapiens, whose fossils date back 30,000 years and include Cro-Magnon.

突变遗传物质的永久性变化。

mutation A permanent change in genetic material.

自然选择一种进化过程，在这个过程中，随机特征会被测试其生存价值；成功的特征会被传承下来，而具有不太成功特征的生物最终会灭绝。

natural selection A process of evolution in which random traits are tested for their survival value; the successful traits are passed on, whereas organisms possessing less successful traits eventually become extinct.

尼安德特人：智人的一个亚种（但有些人认为他们是类人猿），其化石遗骸可追溯到7万至3.5万年前。他们以埋葬死者而闻名。

Neanderthal A subspecies of Homo sapiens (but some consider them hominids) whose fossil remains date from 70,000 to 35,000 years ago. They are known to have buried their dead.

表型生物体的物理或外观。

phenotype The physical, or outward, appearance of an organism.

灵长类动物哺乳动物的一个目，包括猴子、猿和人类。

primates An order of mammals to which monkeys, apes, and humans belong.

稳定选择当自然选择促进现状而不是改变时，因为改变不利于生物体对环境的适应。

stabilizing selection When natural selection promotes the status quo rather than change, because change would be detrimental to the organism’s adaptation to its environment.

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以下网站值得细读：

The following Web sites are worth perusing:

www.hawking.org.uk/life-in-the-universe.html

www.livescience.com/environment（地球）

www.livescience.com/environment (planet earth)

www.history.com/interactive/universe.com

www.humanorigins.si.edu/evidence/human-evolution-timeline-interactive

Culture: Product and Guide to Life in Society

文化：社会生活的产物和指南

在本章中，你将学习

IN THIS CHAPTER, YOU WILL LEARN

• 是什么让人类如此独特；

• what makes humans unique;

• 符号的重要性，尤其是语言；

• the importance of symbols, especially language;

• 共享意义的重要性；

• the importance of shared meanings;

• 为什么文化对人类进步和社会发展起着重要作用；

• why culture is responsible for human progress and the social evolution of societies;

• 文化的内容是什么；

• what is the content of culture;

• 为什么规范对社会至关重要；

• why norms are vital to societies;

• 民族中心主义和文化相对主义态度之间的差异；以及

• the difference between the attitudes of ethnocentrism and cultural relativity; and

• 亚文化和反文化的存在。

• of the existence of subcultures and countercultures.

T尽管所有现代人都属于同一物种，即智人，并且都是相同身体进化结果的产物，但任何观察者都可以明显看出，每个人的外貌都存在差异。身体上的差异很小：一些群体的成员以深色皮肤或深色头发为主，其他人则拥有蓝色眼睛和浅色头发，还有一些人颧骨突出或杏仁眼。然而，所有人都可以辨认出属于被称为“人类”的群体，无论是从外貌上，尤其是从基因组成上。一群人口遗传学家这样总结人类在染色体水平上的差异：除了决定肤色和身高等表面特征的基因外，所有人类都非常相似。事实上，个体之间外貌的差异远远大于群体之间的差异，因此在基因层面上谈论“种族”是没有意义的。 “我们肉眼所见的种族差异——比如欧洲人和非洲人之间的差异——主要是人类在从一个大陆迁移到另一个大陆时对气候的适应” (Subramanian, 1995, 54)。在研究中运用遗传学的人类学家也支持这一发现，他们指出外部差异在遗传学上并不重要，它们是为了应对环境而进化出来的微小变异。北欧人的白皙皮肤可能仅仅由一个基因的改变导致，在阳光稀少的地区，他们进化出更好的吸收阳光的能力，并合成维生素 D (Shute, 2001, 40)。非洲人皮肤较黑是因为黑色素含量较高，这种物质由皮肤细胞产生，目的是在靠近赤道的地方保护皮肤，因为那里的紫外线辐射更强。

Though all modern humans belong to the same species, Homo sapiens sapiens, and are all the result of the same physical evolutionary development, it is obvious to any observer that they differ in looks from individual to individual. The physical differences are slight: members of some groups have predominantly dark skin or hair color, others have blue eyes and light hair, and still others have prominent cheekbones or almond-shaped eyes. All, however, are recognizably members of the group called “humans,” both in their physical appearance and especially in their genetic makeup. A group of population geneticists summarized the variation among humans at the level of their chromosomes in this way: with the exception of genes for surface traits such as skin coloration and height, all humans are remarkably alike. In fact, the variation in looks from individual to individual is so much greater than the variations among groups, so that it makes no sense to speak of “races” at the genetic level. “What the eye sees as racial differences—between Europeans and Africans, for example—are mainly adaptations to climate as humans moved from one continent to another” (Subramanian, 1995, 54). Anthropologists who use genetics in their research also support this finding, noting that external differences are genetically inconsequential. They are small variations that evolved in response to the environment. The fair skin of northern Europeans, a result of a change in just one gene, may have developed to better absorb sunlight in areas where it was rare, and to synthesize vitamin D (Shute, 2001, 40). The dark skin of Africans is due to the larger amounts of melanin, produced by the skin cells to protect the skin in locations that are closer to the equator, where the UV radiation is stronger.

人类之间的差异在他们所使用的语言、他们崇拜的神灵、他们宣誓效忠的政府以及他们遵循的传统方面更加明显。这些差异通常非常显著，其原因也引发了人们的好奇和兴趣。当这些差异发生在占据相同或相邻领土的群体中时，也常常会成为冲突的根源。

The differences among humans are much more apparent in the languages they speak, the gods they worship, the governments to which they profess loyalty, and the traditions they follow. These differences are often quite dramatic, and their causes have aroused curiosity and interest. When they occur within groups that occupy the same or contiguous territory, they are also often a source of conflict.

从最基本的意义上讲，差异源于这样一个事实：人们分散在地球的不同角落，生活在各种各样的群体中，其中最大的群体被称为社会（参见第四章）。在这些社会中，人们与与自己相似的伴侣交配，经过几个世纪的发展，特定的生物学特征逐渐成为该群体的标志——例如，金色的直发配蓝色的眼睛，或者深色的卷发配棕色的眼睛。同样，由于他们与同一群体（即他们的社会）的成员互动最为频繁，每个群体的人们逐渐拥有相似的价值观、信仰和行为模式：简而言之，他们逐渐形成了一种共同的文化。

In a very basic sense, the differences arise from the fact that people are scattered in different parts of the planet, where they live in groups of all sorts, the largest of which are called societies (see Chapter 4). Within these societies, people mate with partners much like themselves, until through the centuries, specific biological traits become characteristic of the group—straight, blond hair and blue eyes, for instance, or dark, curly hair and brown eyes. Similarly, because they interact most frequently with members of the same group—their society—the people of each group come to share similar values, beliefs, and patterns of behavior: in short, they come to share a culture.

文化对人类极其重要，它已成为个人性格和群体特征的重要组成部分，以至于常常被误认为具有生物起源。事实上，生活在群体中、彼此靠近的人，最终会长得非常相似，思维方式也非常相似；而那些距离较远的人，在外貌、习俗、语言、宗教和生活方式上则会形成或大或小的差异。在成员来自不同地区的异质社会中，不同的群体可能具有独特的特征。

Culture is extremely important to people and becomes so much a part of individual personality and group characteristics that it has often been mistaken for having a biological origin. The fact is that people who live in groups, close to one another, end up looking and eventually thinking very much alike, whereas those farther removed develop slight or great differences in appearance, customs, languages, religions, and lifestyles. In heterogeneous societies, in which members have been drawn from a variety of locations, different groups may be characterized by distinct traits.

然而，必须强调的是，尽管我们在世界各国以及我们自身内部遇到的人们千差万别，但所有人的共同点远多于差异点。正如遗传学家的研究指出的那样，这些相似之处部分源于我们的生物本质。无论我们走遍世界，我们都会观察到所有人都必须进食，尽管他们吃什么、何时进食以及如何进食可能因地而异。所有人都必须睡觉，尽管有些人是在床上睡觉。有些人类睡在厚床垫上，有些则睡在薄垫子或光秃秃的地板上。所有人都会为自己搭建某种住所，有些人用棕榈叶和泥土搭建房屋，有些人用木材和砖块搭建，还有些人会利用周围环境中的物品，从冰块到锡板。所有人都会根据某种亲属关系系统对自己进行分类，尽管在某些地方，堂兄弟姐妹被认为是最佳的结婚对象，而在其他地方，堂兄弟姐妹是禁止这样做的。所有人都会发展出某种社会体系，制定行为、价值观、态度、习俗和传统的规则，并根据某种经济体系做出生存决策。简而言之，尽管人与人之间存在无限的差异，但他们也无限地相似。

It cannot be stressed enough, however, that despite the variety we encounter among the peoples of the world and in our own midst, all humans share more qualities than they differ on. In part, the similarities derive from our biological nature, as pointed out by the research of geneticists. No matter how widely we travel in the world, we observe that all people must eat, although what they eat and when and how they eat may vary tremendously from place to place. All people must sleep, though some do it in beds with thick mattresses and others on thin mats or on bare floors. All people build some sort of shelter for themselves, though some weave their homes out of palm fronds and mud, others from lumber and bricks, and still others, with the help of objects available in their environment, from blocks of ice to sheets of tin. All people classify themselves according to some sort of kinship system, although in some places first cousins are considered the best source of marriage partners, and in other places they are taboo for such a purpose. All people develop some kind of social system, with rules for behavior, values, attitudes, customs, and traditions, and all make decisions for survival according to some type of economic system. In short, though people are infinitely different, they are also infinitely alike.

图片 3.1许多穆斯林国家的女性认同伊斯兰教的极端文化解读，即劝诫她们保持端庄的外表，有时甚至要完全遮盖起来。

IMAGE 3.1 Many women in Muslim countries subscribe to an extreme cultural interpretation of Islam, which exhorts them to maintain a modest appearance, sometimes to the point of being totally covered.

iStock：© zgr_pro

iStock: © zgr_pro

如果说共同的人性将人们团结在一起，那么文化差异则往往会将他们分裂。因此，在一个多文化群体共存的社会中，紧张局势十分常见。在这样的社会中（大多数工业化和后工业化社会都是异质化的），人们被拉向各种各样的方向，他们不会遵循一套单一的价值观、信仰、行为准则和传统。

If people’s common humanity unites them, the differences in cultures tend to divide them. In a society in which a number of cultural groups coexist, therefore, tensions are common. In such societies (and most industrial and postindustrial societies are heterogeneous), people are being pulled in myriad directions, and they do not follow a monolithic set of values, beliefs, behavior guides, and traditions.

文化：概念和重要性

Culture: Concept and Importance

“文化”一词是社会科学中最重要的概念之一，因为文化是我们群体生活方式最容易观察到、最具特色的产物。尽管文化可能是分裂的根源，但它也是我们人类独一无二的原因。文化作为一个术语经常被误解和误用。在日常对话中，人们倾向于将受过良好教育、举止得体的人或参加古典音乐会和艺术展览的人称为有文化的人。实际上，每个在社会群体中长大的人都是有文化的，因为文化是一群人共同生活一段时间后产生的。它成为一个民族的生活方式，任何学习这种生活方式的人都会吸收该群体的文化。

The term culture is one of the most important concepts in the social sciences, for culture is the most easily observed and most distinctive product of our group way of life. Although it may be a source of division, it is also what makes us uniquely human. As a term, culture is often misunderstood and misused. In everyday conversation, people tend to refer to well-educated persons with good manners or to those who attend concerts of classical music and art exhibits as being cultured. In reality, every individual who was brought up in a social group is cultured because culture is what results whenever a group of people lives together for any period of time. It becomes the way of life of a people, and whoever learns that way of life absorbs the culture of the group.

文化是社会群体的产物——而今天通常所指的群体是社会，即人们赖以生存的最大群体（参见第四章）。然而，需要强调的是，社会和文化是同一现象的两个方面。我们在本章中探讨文化，并在下一章中探讨社会和其他社会群体；但事实上，两者相互关联、相互依存。社会、文化和个人构成一个三角形，人类生活自始至终都围绕着这个三角形展开。文化不能脱离社会而存在，因为它是社会的产物；而一个社会不可能不产生文化。

Culture is the product of a social group—and the group that is generally considered today is society, the largest group in which people live (see Chapter 4). It should be stressed, however, that society and culture are two aspects of the same phenomenon. We are looking at culture in this chapter and at society and other social groupings in the following chapter; but in fact, the two are interrelated and interdependent. Society, culture, and the individual form a triangle within which human life is acted out from beginning to end. Culture cannot exist apart from society because it is its product, and it is inconceivable that a society would fail to produce a culture.

人类无法脱离社会群体而长期生存，至少在他们能够自力更生、接触到群体文化之前是如此。没有经历过这种接触的个体很难被称为人类。婴儿脱离人类互动的例子比比皆是。在所有这些情况下，这些“野性”（“野蛮的；像野生动物”）个体要么在童年时期就夭折，要么以动物的形式生存下来，缺乏以人类方式交流的能力。他们不是真正的人类，因为他们没有学会如何像人类一样行动。因此，个体依赖于他或她的社会群体来获得身体上的生存并学习如何成为人类。个体所学习的正是他们所出生的社会的文化，更具体地说是他们所属的社会群体的文化。

Humans cannot exist outside a social group for very long, at least not until they are self-reliant, when exposure to the group’s culture has already taken place. An individual who has not undergone such exposure can hardly be called human. Quite a few instances of infants isolated from human interaction exist. In all cases, these “feral” (“savage; wild-animal-like”) individuals either die in childhood or survive as animal-like creatures, without the ability to communicate in a human way. They are not truly human, for they fail to learn how to act as humans do. An individual, then, is dependent on his or her social group for physical survival and for learning how to be human. What individuals learn is precisely the culture of the society into which they are born and more specifically of the social group to which they belong.

文化不仅是互动的产物，它本身也成为进一步互动的模式。在戏剧语境中，文化与社会的关系或许更容易理解。社会可以比作一群演员，他们根据自己在剧中所处的位置，扮演着与其角色相符的角色。剧本演员所使用的文化与文化相媲美。正如剧作家为演员撰写剧本以供表演，文化也由一代又一代的人类建立起来，供其子孙后代赖以生存。然而，文化的创造远不如戏剧的创作那样刻意。然而，正如剧作家会编辑剧本，调整一些角色，扩展其他角色一样，每一代人也会对文化的某些部分进行补充、删除、修改和修正。

Culture is not only an outgrowth of interaction, but it also becomes itself a pattern for further interaction. The relationship of culture to society may be better understood in a theatrical context. Society may be compared to a group of actors who play roles befitting their characters according to the position they occupy in the play. The script used by the actors is comparable to culture. Just as a script is written by a playwright for actors to perform, so culture has been established by generations of humans for their descendants to live by, but the creation of culture is a much less deliberate act than the creation of a play. However, just as a playwright edits the script, changing some roles and expanding others, so, too, each generation adds, deletes, changes, and modifies some parts of culture.

文化的生物倾向

Biological Predispositions to Culture

虽然生物学赋予了我们说话和符号表达的能力，从而间接地赋予了我们创造文化的能力，但它也非常有限。在很多方面，人类的生物构造使得它们难以在地球上生存。由于人类无法在水中呼吸，地球上的大部分地区都不适合人类居住。由于人类只有一层薄薄的皮肤，上面几乎没有毛发，因此需要保护自己免受恶劣天气的侵袭。由于人类缺乏许多动物的爪子、尖牙和毒素，因此他们必须发展其他方式来保护自己。

Although biology is responsible for our ability to speak and symbolize—and thus, indirectly, for our ability to create culture—it is also very limiting. In many respects the human biological makeup has made it difficult for people to survive on earth. Because humans cannot breathe in water, vast parts of the earth are uninhabitable to them. Because they have a thin layer of skin with very little hair on it, they need protection from the elements. Because they lack the claws and fangs and poisons of many animals, they must develop other means to defend themselves.

然而，人类所拥有的特性足以弥补这些生物学上的缺陷。这些特性包括：(1) 一只拇指可以与其他四指相对的抓握手，使它们能够抓握最精细的物体；(2) 直立的姿势，使前肢能够抓握和携带物体；(3) 立体视觉（双眼，视野重叠），使它们能够聚焦远处或近处；(4) 高度复杂的发声器官，使它们能够说话；(5) 极其发达的大脑，它是协调整个人体功能的复杂神经系统的一部分。

These biological shortcomings are more than made up for, however, by the qualities humans do possess. These include (1) a grasping hand with a thumb that can be opposed to the other four fingers, enabling them to handle the most delicate of objects; (2) an upright posture, freeing the forelimbs to handle and carry objects; (3) stereoscopic (two-eyed, with overlapping fields) vision, enabling them to focus far or near; (4) highly complicated vocal equipment, making it possible for them to speak; and (5) an extremely well-developed brain, part of a complex nervous system that coordinates the functioning of the whole human machine.

正是这种生物本能使人类能够创造文化。反过来，文化也成为人类在缺乏身体素质的情况下适应环境的工具。而语言使得信息交流成为可能，也使得这一过程更加便捷。

It is this biological equipment that has made it possible for humans to create culture. In turn, culture has been a tool for adapting to the environment in those instances where physical qualities were lacking. And the fact that language made it possible to communicate information made the process that much easier and faster.

文化的诞生

The Birth of Culture

毫无疑问，即使在能够相互交流的小规模类人猿群体中，也存在着文化存在的证据。人类学家普遍认为，在过去的十万年里，文化进化比生物进化更为重要。换句话说，人类开始依靠发展合适的工具、粮食生产、衣物、住所和武器来应对某些环境问题，而不是依靠通过自然选择改变基因构成来达到同样的目标。这当然并非有意识的选择，而是基于人类交流能力的互动结果。人类群体开始依靠脑力或认知能力生存。脑力不仅限于智力，还包括其他技能：学习能力、形成概念的能力、创造力、自我意识和可靠性、自我评价和他人的能力、在压力下表现的能力等等。

No doubt there was evidence of culture even among small groups of hominids able to communicate with one another. Anthropologists generally maintain that cultural evolution has been more important than biological evolution for the last 100,000 years. In other words, human populations began to depend on the development of appropriate tools, food production, clothes, shelter, and weapons to counter certain environmental problems, rather than depending on the alteration of their genetic makeup through natural selection to reach the same goal. This was not, of course, a conscious choice, but rather the result of interaction based on the human ability to communicate. Human groups began to rely on brainpower, or their cognitive capacity, for survival. Brainpower is not limited to intelligence but includes other skills: the ability to learn, to form concepts, to be creative, self-aware, and reliable, to be able to evaluate oneself and others, to perform under stress, and so on.

文化爆炸的第一个证据，通常被称为中/旧石器时代过渡，包括以下主要发展（被认为起源于 40,000 至 30,000 年前）：

The first evidence of an explosion of culture, usually termed the Middle/Upper Paleolithic transition, included the following major developments (thought to have originated between 40,000 and 30,000 years ago):

1. 石材加工技术从薄片到刀片的转变，包括将刀片安装到手柄上的技术

1. Change in stone-working technology from flakes to blades, including the technique of attaching blades to handles

2. 广泛制造和使用由骨头、鹿角和象牙制成的工具和武器，包括研磨和抛光技术

2. Widespread manufacture and use of tools and weapons made from bone, antler, and ivory, including the techniques of grinding and polishing

3. 用穿孔牙齿、珠子和穿孔贝壳制成的珠宝来装饰身体的出现

3. Appearance of ornamentation of the body by means of jewelry made of pierced teeth, as well as beads and perforated shells

4. 最早的具象艺术形式，例如骨刻和石刻，以及象牙雕塑

4. The first representational art forms, such as engravings on bone and stone, as well as ivory sculptures

5. 依赖特定动物（如西欧的驯鹿）获取食物

5. Reliance on a specific animal, such as reindeer in Western Europe, for food

6. 从小规模、分散的群体生活模式转变为几个大群体占据大片土地以及许多较小的土地

6. A shift from living in small, dispersed groups to a pattern of several large groups occupying large sites in addition to many smaller sites

7. 人口密度增加，向先前无人居住的地区扩张，如澳大利亚和美洲

7. Higher population densities and expansion in previously uninhabited zones, such as Australia and the Americas

8. 在旧石器时代晚期，技术变革和创新迅速而持续，并且首次出现了不同地区文物形式差异的证据（Jolly & White，1995，368）。

8. During the Upper Paleolithic period, rapid and continuous technological change and innovation, as well as the first evidence of variation in forms of artifacts from region to region (Jolly & White, 1995, 368).

这些变化为何会发生？许多人类学家认为，这些变化源于气候变化以及语言作为一种符号交流形式的出现。另一些人则认为，语言在智人出现之前就已经存在，至少以初步的形式存在。人们一致认为，我们所谓的文化的所有要素——语言、艺术、宗教、技术等等——都是在那时首次出现的。

Why did these changes occur? Many anthropologists suggest that they resulted from climatic changes and from the appearance of language as a form of symbolic communication. Others believe that language had been present prior to the emergence of Homo sapiens, at least in a rudimentary form. There is agreement that for the first time all elements of what we call culture were present: language, art, religion, technology, and so on.

大约一万年前，随着上一次冰河时代的结束，人类文化又一次发生了巨大的变革。曾经被冰雪覆盖的地区变得适合人类居住；草原变成了落叶林；河流和海洋中充满了水生生物。这些自然环境的变化也要求人们的生活方式也随之改变。随着一些曾经作为狩猎对象的大型动物灭绝，人们转而狩猎小型动物，并更多地依赖海鲜和其他当地资源。最终，动植物的驯化，以及最终的农业，在这个时期兴起，再次引发了文化的剧烈变革：定居的生活方式；人口的增长可能迫使人们迁徙到新的地区，并带来了他们的文化；贸易的兴起；陶器制造和使用的增加，表明农业村落的生活方式已经定居；永久性住房的建造；以及纺织品的编织。

Another dramatic change in human cultures occurred around 10,000 years ago as a result of the end of the last glacial era. Areas that had been covered by ice became available for human settlement; grasslands changed into deciduous forests; and rivers and seas were teeming with aquatic life. These changes in the physical environment required changes in the way of life of people. As some of the large animals that had been objects of the hunt became extinct, people turned to hunting smaller animals and depending more on seafood and other local resources. Finally, this is the time in which the domestication of plants and animals, and ultimately agriculture, emerged, evoking yet again dramatic changes in culture: a sedentary lifestyle; population increases that may have forced people to move to new areas bringing their culture with them; the beginning of trade; increased manufacture and use of pottery, indicating a settled way of life in agricultural villages; the building of permanent housing; and the weaving of textiles.

农耕生活方式标志着文明的开端。在叙利亚和土耳其边境的考古发现中，发现了刻有楔形文字的泥板，表明该地区早在5000多年前就已存在早期城市文明和文字。许多网站上都提供了早期城市文明的描述和幻灯片。

An agricultural way of life marks the beginning of civilization. Archaeological discoveries on the border between Syria and Turkey have yielded clay tablets with cuneiform writing, indicating that an early urban civilization and literacy were present more than 5,000 years ago in the region. Descriptions and slides of early urban civilizations may be seen at a number of Web sites.

农业时代持续了很长一段时间，随着众多城市以及最终各州的建立而变得更加复杂。直到18世纪中叶，它才被一种名为工业主义的体系所取代。如今，这种体系才被一种基于人工智能的体系所取代。

The agricultural era, rendered more sophisticated by the founding of numerous cities, and eventually states, endured for a very long time. It was supplanted only around the middle of the eighteenth century by a system called industrialism. That system is only now being pushed aside by one based on artificial, computer-driven intelligence.

文化进化与社会生物学

Cultural Evolution and Sociobiology

上一章讨论的达尔文进化论不仅在生物科学领域，而且在社会科学领域都产生了巨大的影响。许多社会思想家开始将达尔文的思想应用于社会生活。这种观点后来被称为文化进化论，因为它认为最成功的文化适应会传承给下一代，而最不成功的则会消失。英国社会哲学家赫伯特·斯宾塞（1873年）创造了“适者生存”一词，意思是那些在特定社会中适应最成功的人——那些繁荣的人——最有可能存活最久，并将成功的特质遗传给他们的后代。这些思想后来被称为社会达尔文主义，包含了进步的概念——从原始到文明，从混乱到有序等等——最终被解读为，西方社会在采用资本主义制度后，成为了世界上最富有、最强大的社会。以及对工业体系的适应，这些因素比其他因素都更优越。这种解释被后来的社会科学家所否定，他们认为文化进化并非源于优越的个体，而是源于其他社会因素。

Darwin’s theory of evolution, discussed in the preceding chapter, was enormously influential not only in the biological sciences but also in the social sciences. A number of social thinkers began to adapt Darwin’s ideas to the social world. This view came to be called cultural evolution because it maintained that the most successful cultural adaptations were handed down to the next generation, while the least successful disappeared. An English social philosopher, Herbert Spencer (1873), coined the phrase “survival of the fittest,” by which he meant that those who were most successful at adapting in a particular society—those who prospered—had the best chances of surviving the longest and passing on the successful traits to their children. The ideas, known later as social Darwinism, include the notion of progress—from primitive to civilized, from chaos to order, etc.—and were ultimately interpreted to mean that Western societies, having become the wealthiest and most powerful in the world with their adoption of capitalism and adaptation to the industrial system, were superior to all others. This interpretation was rejected by later social scientists, who concluded that cultural evolution did not result from superior individuals but rather from other social factors.

然而，某些人类行为取决于生物学而非严格取决于文化的观点不断重新出现。社会生物学学科，由哈佛大学生物学家爱德华·威尔逊 (Edward O. Wilson) (1980) 创造，试图将遗传因素应用于社会行为。这些因素存在于动物中，但它们是否也存在于人类社会中是一个有争议的问题。社会生物学家认为，某些人类行为，特别是侵略、同性恋甚至宗教情感，都是由基因决定的，而不是简单地通过社会化学习而来的。尽管许多研究声称已经找到了负责某些行为的基因（尤其是在同性恋的情况下），但可以肯定地说，行为是文化和生物学相互作用的结果。有几个网站更详细地讨论了社会生物学。

The idea that some human behaviors depend on biology and not strictly on culture has continued to reappear, however. The discipline of sociobiology, a term coined by the Harvard biologist Edward O. Wilson (1980), attempts to apply genetic factors to social behavior. Such factors exist in relation to animals, but it is a matter of controversy whether they also exist in human societies. Sociobiologists maintain that some human behaviors, particularly aggression, homosexuality, and even religious feelings, are genetically programmed and not simply learned through socialization. Although a number of studies have claimed to have found genes responsible for certain behaviors (especially in the case of homosexuality), it is safe to say that behavior is the result of the interaction between culture and biology. Several Web sites discuss sociobiology in greater detail.

那么，文化是什么？

What, Then, Is Culture?

我们一直在探讨文化、其起源和重要性，但从未真正定义过它。文化是人类所创造、使用、学习、认知和信仰的一切。它是人类的行为方式，是他们为了应对共同生活对他们提出的要求而彼此分享并传承给每一代人的东西。文化是人类创造的，并且已经延续了数千年。它是每一代人从上一代人那里继承下来的东西，每一代人又在其中融入了自己的特色。它是人类独有的（尽管这一点尚有争议，因为对非人类灵长类动物的研究表明，它们也能够进行某些形式的交流和使用简单的工具）。它涵盖了所有积累的知识、信仰、理念、价值观和目标，以及人类群体发明或使用过的所有物质形态。

We have been speaking of culture, its origin and importance, without actually ever defining it. Culture is everything that humans make, use, learn, know, and believe. It is how they behave and what they share with each other and transmit to each new generation in the attempt to deal with the demands their common life makes on them. Culture is something that humans create and have done so for thousands of years. It is what each generation inherits from the preceding one and to which each generation adds its own touch. It is uniquely human (though this is subject to argument, because studies of nonhuman primates indicate that they too are capable of some forms of communication and the use of simple tools). It includes all the accumulated knowledge, beliefs, ideas, values, and goals, as well as all the material objects that groups of people have ever invented or used.

文化是在社会化过程中习得的——学习做人——通过符号互动，即我们用来交流的语言和手势。文化的进化使人类能够适应不同的环境，而无需等待基因改变。文化为每个个体提供了以最佳方式满足生理和情感需求的方法，而无需通过反复试验亲自实现。尽管每个社会都会发展出一种与其他文化截然不同的文化——因为它是对特定环境的回应——但所有文化都有相似之处，因为它们都是对人类普遍需求的反应。文化，就像创造它们的群体一样，处于不断变化的状态。

Culture is learned during the process of socialization—learning to be human—through symbolic interaction, that is, language and gestures with which we communicate. Culture evolved to allow humans to adapt to their various environments without waiting for genetic alterations. Culture provides each individual with ways of satisfying biological and emotional needs in the best manner possible, without having to personally do so by trial and error. Although each society develops a culture that is distinct from other cultures—because it is a response to a specific environment—all cultures share similarities because they are reactions to universal human needs. Cultures, just like the groups that create them, are in a constant state of flux.

文化的象征性

The Symbolic Nature of Culture

文化最重要的特质是其象征性。人类因其创造和运用符号的能力而被称为“承载文化”的动物。人类以外的动物缺乏丰富文化的原因之一，就是它们缺乏这种能力。

The most important quality of culture is its symbolic nature. Humans are called the “culture-bearing” animals because of their ability to create and use symbols. One reason animals other than humans lack a rich culture is that they lack this ability.

动物通过一套信号系统进行交流，该系统是由生物决定的，并由基因遗传，是对外界刺激做出的反应。动物因疼痛而发出叫声，因恐惧而奔跑，因饥饿而杀戮。当然，动物也可以被训练做出一些非本能的行为：比如，狗可以被训练坐下、待在一个地方、用后腿站立、靠近以及取纸。然而，经过这种训练的狗无法教会新生幼犬做出类似的行为；这种训练必须由人类来完成（尽管某些动物似乎会遗传某些习得行为）。而人类父母则通过展示或讲述，也就是使用符号来教导后代。这种系统的优势在于明确一点：如果你能告诉你的孩子如何做一件有助于他/她生存或舒适的事，那么你的孩子就不必浪费时间通过反复试验来寻找这些信息。简而言之，轮子不必在每一代人身上都重新发明；相反，人们可以改进和发展前辈的发明，从而有时间思考新的发明。

Animals communicate through a system of signals that are biologically determined and genetically transmitted responses to outside stimuli. Animals yelp in response to pain, run in response to fear, and kill in response to hunger. Of course, animals can also be taught to act in ways that are not instinctual: dogs can be taught to sit, to stay in one place, to stand on their hind legs, to come close, and to fetch the paper. However, a dog so trained will not be able to teach its newborn puppy to behave similarly; a human will have to perform this training (although some types of learned behavior are apparently passed on by some animals). Human parents, on the other hand, teach their offspring by showing them or telling them, that is, by using symbols. The advantage of this system is clear: if you can tell your child how to do something that will aid in his or her survival—or comfort—then your child does not have to waste time finding out this information by trial and error. In short, the wheel does not have to be reinvented in each generation; instead, people can refine and build on the inventions of their forebears and, therefore, have time to think about new inventions.

共享符号的必要性

The Necessity of Sharing Symbols

因为我们通过符号进行交流，所以我们可以教育我们的孩子，事实上，我们已经通过一代又一代的传承教育他们。符号是可以抽象使用的任意符号，其含义是群体认同的，即由群体共享的。例如，所有说英语的人都同意，bread这个词的发音代表一种用面粉、水和酵母等基本成分制成的食物。bread 这个词不是物体 bread；它只是象征或代表食物。关键是，这个发音对于不懂英语的人来说毫无意义，对于没有这种食物的社会中的人们也没有任何意义。符号必须为社会成员所理解和共享，否则就毫无意义。因此，符号因文化而异。在日本，鞠躬表示礼貌；在美国，鞠躬表示自卑或顺从，所以除了在教堂外，人们不会这样做。对美国人来说，棒球棒是一种流行运动器材；对于无法接触大众媒体的亚马逊居民来说，国旗不过是一块木头，一根粗壮的树枝，形状特别适合用来击打人或物。每个美国孩子都知道，当学校或联邦大楼前那块红、白、蓝三色的布在风中飘扬时，它代表着什么。然而，如果有人来自一个没有国家的社会，不了解国旗所蕴含的象征意义，那么国旗只会被简单地理解为一块五彩缤纷的布料。许多网站上都可以找到各种象征符号的历史回顾。

Because we communicate through symbols, we can teach our children and have, in fact, taught them through an endless chain of generations. Symbols are arbitrary signs that can be used in an abstract manner and whose meanings are communally agreed on, that is, shared by the group. All English-speaking people, for instance, agree that the sound of the word bread stands for a type of food made with the basic ingredients of flour, water, and yeast. The word bread is not the object bread; it only symbolizes, or stands for, the food. The point is that the sound means nothing to someone who does not understand English, nor does it mean anything to someone in a society in which there is no such food. Symbols must be understood and shared by members of a society, or they are meaningless. Consequently, symbols vary from culture to culture. In Japan, one bows to be polite; in the United States, bowing is an expression of inferiority or submission, so it is not done except perhaps in church. To an American, a baseball bat is something used in a popular sport; to an inhabitant of the Amazon who has no access to the mass media, it is a piece of wood, a thick tree branch shaped in such a way that it can be used to hit someone or something. Every American child knows what the red, white, and blue cloth means when it flutters in the wind in front of a school or federal building. If, however, someone were to visit from a society in which there was no state, unaware of the symbolism inherent in a flag, the object would simply be perceived as a piece of multicolored fabric. A historical look at a variety of symbols may be found at a number of Web sites.

语言：最重要的符号系统

Language: The Most Important System of Symbols

语言是人类最有效的符号系统，但并非唯一。手势（包括人们可能未曾意识到的肢体语言）、音乐和视觉艺术是其他用于交流的符号系统。这些符号系统也必须与自身社会群体的成员共享，否则就会被误解或完全无法理解。在美国，我们点头表示“是”，摇头表示“不是”，但在其他社会中，情况正好相反，或者盛行其他符号系统。在北美和北欧，人们交谈时会保持约三英尺的距离，尤其是在陌生人或熟人之间。在类似情况下，南美人会站得更近一些。这是因为不同社会在沟通中对空间的运用存在差异，导致北美人认为南美人咄咄逼人，而南美人则认为北美人冷漠不友好。这种差异在国际关系中造成了问题！

Language is the most effective system of symbols used by humans, but it is not the only one. Gestures—including body language of which people may not be consciously aware—music, and the visual arts are other symbol systems used to communicate. These too must be shared with members of one’s social group; otherwise, they are misunderstood or not understood at all. In the United States we nod our heads when we mean yes and shake it from side to side when we mean no, but in other societies the reverse is true or some other symbolic system prevails. In North America and northern Europe, people stand about three feet away from one another when conversing, particularly if they are strangers or mere acquaintances. South Americans stand much closer to one another in similar circumstances. This happens because different societies vary in the use of space in communication, leading a North American to consider a South American pushy, whereas the South American believes North Americans cold and unfriendly. Such differences create problems in international relations!

语言在文化的发展和传承中扮演着尤为重要的角色。没有语言，文化就不可能繁荣昌盛，因为语言使广泛的交流成为可能，进而使人们能够参与协调一致的群体活动，从而帮助他们生存。从历史上看，语言促进了狩猎活动中的合作。成功的狩猎意味着相对稳定的食物供应，这导致了永久性社区（城市和国家）的建立以及更高效的劳动分工。

Language plays a particularly important role in the development and transmission of culture. There cannot be a flourishing culture without language because language makes possible a wide range of communication, which in turn allows people to engage in coordinated group activities that help them to survive. Historically, language facilitated cooperation in hunting ventures. Successful hunting meant fairly constant food supplies, which led to the establishment of permanent communities (cities and nations) and a more efficient division of labor.

在语言中，符号被用来命名事物、个体和类别。每个物体，甚至无形的抽象概念，都有一个名字，这对我们来说似乎很自然也很常见，但对于那些没有学习过这些通用符号的人来说，这一点并不那么明显。海伦·凯勒出生后不久就失明失聪，她将意识到万物皆有名字的那一刻描述为一个启示，它为她带来了全新的生活：

In language, symbols are employed to name things, individuals, and categories. The fact that every object and even intangible abstractions have a name seems natural and commonplace to us, but to someone who has not been taught the shared symbols, it is not necessarily so apparent. Helen Keller, blind and deaf from shortly after birth, describes the moment when she realized that everything had a name as a revelation that literally began life anew for her:

突然间，我朦胧地意识到某种被遗忘的东西——一种思绪回归的激动；不知何故，语言的奥秘向我揭开了。我明白了，“水”指的是流过我手掌的那种清凉奇妙的东西。这个鲜活的词唤醒了我的灵魂；赋予它光明、希望、喜悦，赋予它自由！

Suddenly I felt a misty consciousness of something forgotten—a thrill of returning thought; and somehow the mystery of language was revealed to me. I knew then that “w-a-t-e-r” meant the wonderful cool something that was flowing over my hand. That living word awakened my soul; gave it light, hope, joy, set it free!

（凯勒，1903）

(Keller, 1903)

尽管语言本身是文化最重要的发明或产物，但它却是文化赖以建立和传承的基础。语言极大地影响着人类的社会生活。由于每个人无需亲身经历，他们的知识范围得以无限扩展。相反，无数的经历可以无数次地传达给无数人。

Although it is itself the most significant invention or product of culture, language is the foundation on which culture is erected and by which it is transmitted. The social life of humans is dramatically affected by language. Their range of knowledge is infinitely expanded because it is not necessary for each individual to experience events personally. Instead, countless experiences can be told to countless people, countless times.

语言远远超越了其他动物所使用的信号系统。它使人类能够创造时间和空间的维度，从而将很久以前（历史、传统）和遥远（地理）发生的事件联系起来。通过语言，人们可以预测未来可能发生的事情，或者一个人希望发生的事情。人们可以分享个人的想法、感受和信息。虽然每种语言的词汇都代表或象征着真实的物体、活动或事件，但它们也可以用来象征抽象的事物和感受，例如忠诚或爱。语言甚至可以用来表达人们未曾体验过的事物，例如上帝，只要人们认同上帝是可以体验的。人们创造词汇来表达其文化中出现的一切，并创造新的词汇来适应新的文化模式。 20 世纪 60 年代之前没有“嬉皮士”这样的词语，20 世纪 70 年代末之前没有“用户友好”这样的表达，20 世纪 80 年代之前没有“视频”和“网络空间”，20 世纪 90 年代之前没有“互联网”和“网站”，2000 年之前没有“短信”，而在肥胖已成为西方普遍现象的 21 世纪，也没有“致肥胖”这样的词语。

Language goes far beyond the signal systems that other animals use. It allows humans to create the dimensions of time and space so that events that occurred long ago (history, tradition) and far away (geography) may be related. With language, it is possible to project what might happen, or what a person wishes would happen, in the future. One can share individual thoughts and feelings, as well as information. Although the words of each language stand for, or symbolize, real objects or activities or events, they can also be made to symbolize abstractions and feelings, such as loyalty or love. Language can even be used to express things people have not experienced, such as God, as long as people agree that God can be experienced. People invent words to express everything that emerges in their culture and find new words to fit new cultural patterns as they appear. There were no such words as “hippies” before the 1960s, expressions such as “user friendly” before the late 1970s, “videos” and “cyberspace” before the 1980s, “the Internet” and “Web site” before the 1990s, or “texting” before 2000, and words such as “obesogenic” in the twenty-first century, an era in which obesity has become endemic in the West.

语言的存在，使得知识得以传播和积累。除了口头语言，文字的出现也极大地加速了知识的积累，使其更加丰富。即使在尚未发明文字的社会中，也会有专门的人负责保存和口头传承某些知识，这些知识对于社会成员来说是必不可少的，也是他们渴望掌握的。文化的传承意味着每一代人都无需重新发现事物；每一代人都可以在前几代人的经验基础上继续发展。事实上，文化在其起源的社会中得以延续。古希腊和罗马帝国在数千年前就已不复存在，但它们的文化却在整个西方文明中留下了深刻的印记。古希腊和古罗马的文学和艺术至今仍被人们阅读和欣赏。

Because of language, knowledge spreads and accumulates. Knowledge accumulation is greatly speeded up and expanded when writing is added to the spoken word, but even in societies in which writing has not been invented, special individuals are designated to preserve and pass on orally certain kinds of knowledge deemed necessary or desirable for the members of the society to know. Again, transmitting culture means that each generation does not need to rediscover things; each new generation can build on the experiences of previous generations. In fact, cultures survive the societies in which they originate. Ancient Greece and Imperial Rome ceased to exist thousands of years ago, yet their cultures have left profound marks on all of Western civilization. The literature and art of the ancient Greeks and Romans are still read and admired today.

语言是极其重要的社交工具，而且它正以我们无法预见的方式扩展：例如，Twitter 的使用，这个词曾经指鸟类的叫声。如今，Twitter 是互联网上一种社交网络和微博服务的名称。人们使用推文进行交流——推文是出现在个人资料中的最多 140 个字符的文本帖子，面向订阅者（称为粉丝）。使用该服务的名人拥有众多粉丝，每天接收和发送大量推文。Twitter 并非唯一这样的服务：还有 Facebook，正如其广告所宣称的，“Facebook 帮助你与生活中的人建立联系并分享”，还有 Tumblr、Instagram、Pinterest、LinkedIn 等等。基于相同理念的新服务似乎每天都在涌现。

Language, then, is a most important social tool, and it is expanding in ways we could not foresee: for instance, the use of Twitter, a word that once referred to the vocalizations of birds. Today, Twitter is the name of a social networking and microblogging service used through the Internet. People use tweets—text-based posts of up to 140 characters that appear on an individual’s profile and are directed at subscribers, who are called followers—to communicate. Celebrities who use the service have many followers and receive and send numerous tweets every day. And Twitter is not the only such service: there is also Facebook, “Facebook helps you connect and share with the people in your life,” as their ad claims, Tumblr, Instagram, Pinterest, LinkedIn, and so on. New services based on the same idea seem to be springing up on a daily basis.

语言创造现实吗？

Does Language Create Reality?

由于语言与文化的相互关联，一些社会科学家认为语言的结构本身塑造了人们对现实的反应和态度。例如，他们指出，有些语言无法表达过去或未来的概念，因为这些语言发展的社会关注的不是时间，而是现在。例如，在美洲原住民苏族的母语中，迟到或等待的概念无法表达。对他们来说，这些概念并不存在；他们从现在的视角看待世界。

Because of the interrelationship of language and culture, some social scientists have maintained that the very structure of language shapes people’s reactions and attitudes toward reality. As an example, they cite the fact that in some languages there is no way to express the idea of past or future because the societies in which the languages developed did not focus on any time but the present. In the native language of the Sioux tribe of Native Americans, for instance, the idea of being late or of waiting cannot be expressed. For them these ideas did not exist; they viewed the world from the perspective of the present.

在其他语言中，某些现象可以用无数种细微差别来表达。菲律宾人有92种不同的方式来描述他们主食——米饭。在英语中，我们能辨别“恐惧”和“羞耻”这两个词，但对一些澳大利亚原住民来说，这两个词是一个词，它们也可以表示害羞、尴尬或尊重。中国人说他们的语言根本不是情侣间的语言：“我爱你”和“吻”这两个表达在中文里听起来如此陌生和正式，以至于那些懂英语的人在亲密关系中会用英语来表达自己的感受，而不是用他们的母语。中文也没有“亲爱的”、“甜心”或“蜜糖”等词的对应词，所以在为美国电影配音时，不得不编造一些粗略的近似词，引得观众哄堂大笑。汉语缺乏这类词汇的原因在于，中国文化中人们不愿公开表达情感，在表达爱意方面也较为内敛和害羞：汉语中描述“米”的词汇比描述“爱”的词汇还多。（然而，随着全球化将西方各种媒体引入中国，情况正在发生变化。）最后，在乔治·奥威尔的小说《1984》中，新创语言“新话”中没有“自由”一词。因此，人们无法思考或渴望自由。想想这种缺失会带来什么样的后果吧！

In other languages, certain phenomena can be expressed with an infinite number of nuances. Filipinos have 92 different ways of describing rice, a staple of their diet. In English, we recognize a distinction between the words “fear” and “shame,” but to some Australian Aborigines, the two words are one and can also mean shyness, embarrassment, or respect. The Chinese say that their language is simply not a language for lovers: the expressions “I love you,” and “kiss” sound so foreign and formal in Chinese that those who know English use that language to express their feelings in their intimate relations rather than using their native tongue. Chinese also has no equivalents of “dear,” or “sweetie,” or “honey,” so that in dubbing American movies, rough approximations have to be coined that prompt explosions of giggles in viewers. The reason such words are lacking in Chinese is that Chinese culture is one in which people are reluctant to express emotions openly, and the Chinese are restrained and shy when it comes to expressing love: Chinese too has more words describing rice than love. (However, now that globalization has brought in all kinds of media from the West into China, things are changing.) Finally, in the fictional work 1984 by George Orwell, the newly created language Newspeak did not contain a word for freedom. Consequently, people could not think about or desire freedom. Think of the consequences of such an absence!

两位后来成为语言学家的人类学家——爱德华·萨丕尔（Edward Sapir）和他的学生兼同事本杰明·L·沃尔夫（Benjamin L. Whorf）——写道，语言并非简单地将标签贴在事物和思想上（萨丕尔，1960；沃尔夫，1956）。相反，语言反映了人们的思想、感受和行为，并反过来塑造了人们的思维、感受和行为方式。简而言之，正是我们的语言告诉我们什么是真实的；正是我们的语言告诉我们如何解读外部世界。我们只能在语言允许的范围内认识世界——如果没有词语来表达某个事物，那么对我们来说，这个事物就不存在（这被称为萨丕尔-沃尔夫假说）。正因如此，每种语言中都有一些在其他语言中找不到对应词的词语或表达方式，这使得翻译工作变得非常困难。萨丕尔得出结论，实际上，不同社会的成员可以说生活在“不同的世界中，而不仅仅是被贴上不同标签的同一个世界”（萨丕尔，1949，162）。萨丕尔-沃尔夫假说认为，语言的结构在很大程度上决定了该语言使用者的思维方式以及他们如何感知世界（更多信息，请参阅：www.visual-memory.co.uk/daniel/Documents/short/whorf.html）。

Two anthropologists who became linguistic experts, Edward Sapir and his student and later colleague Benjamin L. Whorf, wrote that languages are not simply a matter of attaching labels to things and thoughts (Sapir, 1960; Whorf, 1956). On the contrary, languages are a reflection of people’s thoughts, feelings, and actions, and in turn they shape the way people think, feel, and act. In short, it is our language that tells us what is real and true; it is our language that shows us how to interpret the external world. We can know the world only as far as our language permits it—if there is no word for something, that something does not exist for us (this is known as the Sapir–Whorf hypothesis). That is why every language has some words or expressions that have no counterpart in another language, making the work of a translator very difficult. Sapir concluded that, in effect, members of different societies may be said to live in “distinct worlds, not merely the same world with different labels attached” (Sapir, 1949, 162). The Sapir–Whorf hypothesis maintains that the structure of a language strongly determines how speakers of that language think and how they perceive the world (for further understanding, see: www.visual-memory.co.uk/daniel/Documents/short/whorf.html).

萨丕尔-沃尔夫假说不应被解读为语言永远限制或约束一个人对现实的感知。事实上，语言与文化相互促进：语言会随着文化内容的变化而变化，但同时，语言也是塑造文化内容的重要因素。一些对该理论的评论可访问：www.linguistlist.org/ask-ling/sapir.cfm。

The Sapir–Whorf hypothesis should not be interpreted as meaning that language restricts or limits a person’s perception of reality forever. The fact is that language and culture give rise to each other: language changes in response to changes in the content of culture, but at the same time, it is an important factor in shaping cultural content. Some critical comments on the theory may be found at: www.linguistlist.org/ask-ling/sapir.cfm.

文化的内容

The Content of Culture

一个社会的文化被构成该社会的人们视为理所当然。他们相信自己的文化是唯一“正确”的文化，认为在他们的社会里，事情就是这样做的，过去是这样做的，现在也是这样做的。这就是为什么“文化冲击”是指人们初次接触一个与自身文化截然不同的社会时所经历的。人们通常会接受自己的文化，因为他们已经接受了这种文化——他们从小就被灌输这种文化，从未被鼓励去客观地审视它。当我们分析文化时，就会发现它由众多元素构成。

A society’s culture is taken for granted by the people who make up that society. They believe their culture is the only “right” one and that things are done, were always done, and ought to be done as they are in their society. That is the reason for the “culture shock” people experience when they first encounter a society in which things are done differently than in their own. People generally accept their culture because they have been socialized to accept it—they have grown up with it and have not been encouraged to examine it dispassionately. When culture is analyzed, it becomes clear that it consists of a large number of elements.

物质文化

Material Culture

首先，文化的很大一部分是看得见、摸得着的，因为它包含着人类构思和制造的大量产品。所有物质对象，从史前祖先的原始石斧到书写文字的复杂计算机，都属于物质文化的范畴。物质对象的创造是为了满足社会的共同需求。当一个人有了想法，并被其他人采纳，然后他们对其进行补充、修改和改变，并付诸实践时，物质对象就诞生了。

First, a good portion of culture is visible and tangible because it consists of the huge number of products conceived and manufactured by humans. All material objects, from the primitive stone axe of our prehistoric ancestors to the complex computer on which these words are being written, belong to the category of material culture. Material objects are created to fill a shared need of the society. They come into being when one individual has an idea that is seized on by others, who may add to, modify, and change the idea and put it to use.

例如，汽车是工业社会最重要的象征，正如计算机是当代后工业社会最重要的象征一样。汽车源于一个理念，这个理念扎根于人类心中，并经过无数代人的不断发展。毫无疑问，古人曾将一块石头磨成圆形，或者找到一块现成的石头，并观察它从斜坡上滚下来的速度有多快。而另一些人，在需要拖动一块沉重的巨石时，想到了让圆形石头——车轮——承担大部分搬运巨石的繁重劳动的可能性。后来，在动物被驯化之后，其他聪明（或懒惰？）的人尝试将轮子装在手推车上，将重物放入车内，让牛或马拉动，这再次减轻了农业的繁重劳动，并加快了人员和物品的运输速度。很久以后，蒸汽机和内燃机被发明，轮子被安装在这些机器上，人们可以舒适而快速地乘坐轮船、火车，最终乘坐汽车。汽车工业的创始人们，仅仅是将数千年前源于人类大脑、由人类双手创造的创意进行了最后的润色。顺便提一句，将物质文化元素整合在一起以获得新产品所需的知识，是技术的功能，是知识的实际应用。技术包括物质对象以及管理它们的规则和程序。因此，它涵盖了物质文化和非物质文化。（技术将在社会文化变迁的背景下进行讨论，第10章。）

The automobile, for instance, was the foremost symbol of industrial society, just as the computer is of contemporary postindustrial society. The automobile was the result of an idea that took hold and continued to be developed throughout countless generations of people. No doubt, an ancient human honed a stone into a circular shape or found one ready-made and noticed how rapidly it rolled down an incline. Someone else, faced with the necessity of dragging a heavy boulder, thought of the possibility of having the round stone—wheel—do most of the backbreaking labor of moving it. Later, after animals had been domesticated, other ingenious (or lazy?) individuals experimented with attaching wheels to a cart, placing heavy objects inside, and letting oxen or horses pull it, again easing the hard work of agriculture and speeding up the transportation of people and things. Much later still, when the steam engine and the internal combustion engine were invented, wheels were attached to these machines, and people could ride in comfort and speed in boats, on railroad trains, and finally in automobiles. The originators of the automobile industry, then, simply applied the finishing touches to an idea born of the human brain and produced by human hands many thousands of years ago. Incidentally, the knowledge needed to put elements of material culture together to obtain new products is a function of technology, a practical application of knowledge. Technology includes material objects and the rules and procedures that govern them. Thus, it spans material and nonmaterial culture. (Technology is discussed in the context of sociocultural change, Chapter 10.)

非物质文化

Nonmaterial Culture

文化的另一个组成部分是由抽象概念构成的，包括知识、信仰、价值观和行为规则。文化的这一部分是非物质部分，但物质部分和非物质部分并非截然分开的实体。例如，要制造汽车，不仅需要原材料，还需要关于快速舒适交通必要性的理念。最后，还必须掌握如何使汽车各个部件运转的知识。正如人们所预料的那样，社会科学家主要关注文化的非物质层面，因为人类生活的大部分内容都是在信仰、价值观和行为规则的背景下塑造和进行的。

The other component of culture consists of abstractions that include knowledge, beliefs, values, and rules for behavior. This part of culture is the nonmaterial part, but the material and nonmaterial parts are not distinct entities. For instance, for the automobile to be built, not only did raw materials have to exist but also ideas about the necessity for rapid and comfortable transportation. Finally, the knowledge of how to make the different parts of the vehicle work had to be present. Social scientists, as may be expected, are concerned chiefly with the nonmaterial aspects of culture because most of human life is shaped by and carried out in the context of beliefs, values, and behavioral rules.

非物质文化的组成部分：认知与规范

The Components of Nonmaterial Culture: Cognitive and Normative

非物质文化由认知成分和规范成分构成（图3.1）。认知成分包括人们对一切存在事物或他们认为存在事物的定义。更具体地说，它包括知识、信仰、和技术（指完成任务的程序知识）。规范性部分包括价值观、规范（进一步分为民俗、道德和法律）、制度和制裁。如果可能的话，规范性部分是文化中更为重要的特征，因为它包含行为规则，而如果人们不遵守规则，人类社会就不可能存在。

Nonmaterial culture consists of cognitive and normative components (Figure 3.1). The cognitive component includes the definitions that people give to everything that exists, or to everything they think exists. More specifically, it includes knowledge, beliefs, and technology (in the sense of knowledge of procedures for completing tasks). The normative component consists of values, norms (further divided into folkways, mores, and laws), institutions, and sanctions. The normative component is, if possible, an even more important feature of culture because it includes rules for behavior, and human societies could not exist if people did not follow rules.

非物质文化的组成部分

Component of Nonmaterial Culture

图 3.1

FIGURE 3.1

规范体系

The Normative System

规范体系主要处理那些规定“应该”或“不应该”的规则（规范）。规范“是指任何规定人类在特定情况下应该或不应该思考、说话或做事的标准或规则”（Blake & Davis，1964，456）。然而，规范源于价值观。

The normative system deals primarily with rules (norms) that specify what ought, or ought not, to be. Norms “designate any standard or rule that states what human beings should or should not think, say, or do under given circumstances” (Blake & Davis, 1964, 456). Norms, however, are derived from values.

价值观。价值观是对某些行为、动作或制度的善、正确、道德、美或伦理的抽象评价，因此，这些事物是值得追求的。例如，社会学家罗宾·威廉姆斯（1970）列举了美国社会公认的一些价值观：机会均等、成就与成功、积极勤奋、效率与务实、进步、科学、物质享受、道德、自由、民主、人道主义、个人主义、外在的一致性、群体内优越感和爱国主义。他本可以添加美国人重视的其他特质：乐观、善于社交、诚实和浪漫的爱情。几十年后，这些价值观依然有效，尽管侧重点略有变化。美国人重视自由而非平等，重视自力更生而非政府干预，重视为了向上流动而接受教育而非为了扩展个人知识和理解而接受教育。此外，一些美国价值观可能正在发生变化：尽管许多美国人是物质主义者，但有些人表示愿意停止对物质获取的追逐，花更多的时间陪伴家人或为社会服务。

Values. Values are abstract evaluations that certain kinds of behaviors, actions, or systems are good, right, moral, beautiful, or ethical—and, therefore, that these items are desirable. For instance, the sociologist Robin Williams (1970) has listed some of the following values as recognized in American society: equal opportunity, achievement and success, activity and hard work, efficiency and practicality, progress, science, material comfort, morality, freedom, democracy, humanitarianism, individualism, external conformity, in-group superiority, and patriotism. He could have added other characteristics valued by Americans: optimism, sociability, honesty, and romantic love. Decades later, these values are just as valid, although there has been a slight change of emphasis. Americans value freedom over equality, self-reliance over government intervention, and education for the sake of upward mobility over education for the sake of expanding one’s knowledge and understanding. Some American values, moreover, may be in the process of change: although many Americans are materialistic, some express a willingness to stop the race toward material acquisition to spend more time with their families or in the service of society.

价值观通常并非明文规定，而是可以从人们的行为方式中推断出来。当我们看到身材纤细的年轻女性为服装做模特，看到一本又一本杂志的封面上展示减肥和健身计划时，我们或许可以肯定地猜测，苗条是我们社会的一种价值观。此外，价值观往往是相互矛盾的。为了在商业上取得成功，有些人可能认为有必要放弃一些诚实或道德的要素。我们重视个人主义，但也要求一定程度的从众。我们对平等的信仰并不排除我们对与我们种族或宗教信仰不同的群体感到优越，也不排除我们试图为我们所属的群体谋取利益。

Values are not often spelled out specifically but rather can be inferred from the way people behave. When we see super-thin young women modeling clothes, and magazine after magazine displaying diets and exercise programs on their covers, we may safely guess that thinness is a value in our society. Moreover, values are often contradictory. To achieve success in business, some individuals may consider it necessary to forgo some elements of honesty or morality. We value individualism but also require a degree of conformity. Our belief in equality does not preclude our feeling superior to groups who differ from us in race or religion or from attempting to obtain advantages for the group to which we belong.

价值观也常常处于不断变化之中，尽管我们的一些价值观在整个社会存在过程中一直保持稳定。认为某些少数群体（无论是民族、种族还是性别）低人一等的观念正在缓慢地开始改变。在经历了一段“性革命”时期后，一夫一妻制的性关系的价值似乎正在恢复其昔日的主导地位。所谓的家庭价值观，即对婚姻、忠诚以及在家庭圈子内生育和抚养子女的坚定信念，正受到我们社会某些阶层的强烈拥护。当然，由于我们如今是一个高度多元化的社会，并非所有美国社会阶层都认同相同的价值观，这本身就存在很大争议。一个很好的例子就是允许同性恋伴侣结婚的提议。尽管一部分民众支持这一想法（许多州已经采纳了这一想法），但另一部分民众却强烈反对，并定期建议通过司法修正案甚至宪法修正案来禁止这种做法。

Values are also often in a state of flux, although some of our values have remained stable throughout our existence as a society. The beliefs in the inferiority of certain minorities—ethnic, racial, sexual—is very slowly beginning to change. The value of monogamous sexual relationships seems to be regaining some of its former preeminence after a period of “sexual revolution.” The so-called family values, that is, a strong belief in marriage, fidelity, and bearing and raising children within the family circle, are being strongly espoused by certain segments of our society. Of course, because we are a highly heterogeneous society nowadays, not all segments of American society subscribe to the same values, which itself is a matter of much controversy. A good example is provided by the proposition that homosexual couples should be allowed to marry. Although one portion of the population favors this idea (and a number of states have adopted it), another portion is strongly opposed and periodically recommends judicial and even constitutional amendments to forbid it.

规范。规范被定义为规定人们在特定场合应该如何行动、思考甚至感受的规则或标准，涵盖范围广泛。它们规定了人们在正式和非正式场合以及重要和不重要的场合中的行为。这些规则涵盖了方方面面，从何时、如何以及与谁握手，到何时可以杀人，何时禁止杀人。

Norms. Norms, which have been defined as rules or standards prescribing how one ought to act, think, or even feel on given occasions, cover a wide range of circumstances. They dictate conduct in both formal and informal situations as well as in significant and less significant ones. They cover everything from when, how, and with whom to shake hands to when it is permissible and when it is forbidden to kill another person.

图片 3.2文化的规范体系主要由社会为其成员的福祉而制定的行为规则组成。如果这些规则以宗教术语表述——例如上帝吩咐你必须做这做那——那么它们更有可能被遵守，尤其是信徒。在犹太-基督教社会中，《圣经·旧约》中记载上帝赐予摩西的十诫至今仍被广泛遵守。

IMAGE 3.2 The normative system of culture consists mainly of rules of behavior that societies have established for the good of their members. If these rules are couched in religious terms—God says you must do this and refrain from doing that—they are much more likely to be followed, particularly by the believers. In Judeo-Christian societies, the Ten Commandments, which the Old Testament in the Bible says were given to Moses by God, are still widely observed.

iStock：© duckycards

iStock: © duckycards

规范被个人内化，成为其个性和信仰体系的一部分。大多数规范已被大多数人内化，以至于人们遵守规范不仅仅是因为害怕受到惩罚，而是因为人们相信规范代表了“正确”的行为方式。违反规范会让大多数人产生内疚感。简而言之，每个社会中产生的文化规范本质上是一套行为期望，它是一种系统，告诉社会成员该如何在各种情况下规范和价值观的比较以及进一步的解释，请访问www.yourarticlelibary.com/society/difference-between-norms-and-values-of-society/35068以及其他许多网站。

Norms are internalized by the individual, becoming part of that individual’s personality and belief system. So thoroughly are most norms internalized by most people that they are obeyed not simply out of fear of punishment, but because people believe that norms represent the “right” or correct way to act. Breaking norms produces guilt feelings in most people. In short, the cultural norms that originate in each society are essentially a set of behavioral expectations, a system that tells a member of a society how that society expects the individual to behave in a wide range of circumstances. A comparison of norms and values and further explanations may be found at: www.yourarticlelibary.com/society/difference-between-norms-and-values-of-society/35068, and on many other sites.

所有文化成分都紧密相关。规范体系基于价值观，提供行为规则和标准，但这些规则和标准源于文化的认知成分。因此，我们可以说，信仰是大多数人认为的关于周围世界现实的真实情况，而价值观是大多数人认为的善与正。规范是大多数人认为自己和他人应该如何行为，以及他们在大多数时候实际上如何行为。规范是价值观的反映，而价值观又是信仰的反映。

All cultural components are intimately interrelated. The normative system provides rules and standards of behavior, based on values, but these derive from the cognitive component of culture. We can say, then, that beliefs are what most people think is true about the reality of the world around them, whereas values are what most people think is good and right. Norms are how most people think they and others should behave, and how they in fact do behave most of the time. Norms are reflections of values, which in turn are reflections of beliefs.

不完全一致。文化的各个组成部分从来都不可能完全一致。尤其是在多元社会中，人们接受着相互冲突的规范、价值观和信仰。尽管美国人坚称自己相信人人平等，但他们也相信竞争的价值，这导致一些人成功，另一些人失败，并最终导致收入和生活方式的不平等。个人主义是美国社会的另一项重要价值观。早期定居者认为新大陆是一个个人可以凭借自身努力取得成功，而不受旧大陆普遍存在的阶级和地位束缚的地方，个人主义也因此在美国社会中站稳了脚跟。从那时起，各种形式的个人主义就一直作为美国文化的重要价值观而存在。批评者指责个人主义，即对自我的痴迷，已经损害了公共生活和公共利益（即社会的利益），但其他人认为，他们看到这种不受约束的个人主义正在发生逆转，越来越多的人表示需要生活中的连贯性和意义，以及对他人的承诺，而不是纯粹的个人成就。

Imperfect Agreement. The various components of culture are never in perfect agreement. Especially in heterogeneous societies, people accept conflicting norms, values, and beliefs. Although Americans maintain that they believe in the equality of all people, they also believe in the value of competition, which leads to the success of some and the failure of others and, as a consequence, to inequality of income and lifestyles. Individualism is another important value in American society, having gained a foothold when the early settlers thought of the New World as a place where the individual could get ahead on his or her own initiative, without the shackles of class and status that prevailed in the Old World. Since then, individualism in one form or another has persisted as an important value of American culture. Critics charge that individualism, in the sense of an obsession with the self, has harmed public life and the public good (by which is meant the good of the society), but others believe they are seeing a reversal of this untrammeled individualism in the number of people who express a need for coherence and meaning in their lives, as well as commitment to others rather than sheer personal achievement.

社会融合。当规范、价值观和信仰一致时，该文化所处的社会就被认为是高度融合的。社会融合并非完全，但一定程度的文化融合是必须的。美国就是一个融合程度松散的社会的例子。几乎在所有议题上，人们都有着各种各样的信仰：堕胎、同性婚姻、死刑、平权法案、药物测试等等。所有城市工业社会和后工业社会，尤其是由多个文化群体组成的社会，都存在着松散的融合。

Social Integration. When norms, values, and beliefs are in agreement, the society in which that culture exists is considered to be well integrated. Social integration is never total, but a degree of cultural integration is a must. The United States is an example of a society that is only loosely integrated. There is a wide array of beliefs on almost every issue: abortion, gay marriage, the death penalty, affirmative action, drug testing, and so on. A loose form of integration is true of all urban industrial and postindustrial societies, particularly those that consist of more than one cultural group.

在这个连续体的另一端，我们发现了紧密融合的社会，例如日本。日本或许不会长期保持如此紧密的融合，但就目前而言，由于经历了数个世纪的孤立，并培养了同质的公民，日本人对其社会大多数重要的价值观和信仰达成了共识，展现出高度融合的社会秩序的特征。

On the opposite end of the continuum we find closely integrated societies, such as that of Japan. Japan will probably not continue to remain so closely integrated for very long, but for the moment, having been isolated for many centuries and having cultivated a homogeneous citizenry, the Japanese agree on most of the important values and beliefs of their society, displaying the characteristics of an extremely well-integrated social order.

规范的类别：民俗、习俗、禁忌和法律

Categories of Norms: Folkways, Mores, Taboos, and Laws

社会科学家根据规范的重要性和功能对其进行了分类。其中一类规范是民俗，它规定了日常情况下的预期行为。

Norms are classified by social scientists according to their importance and functions. One category of norms consists of folkways, which are norms that specify expected behavior in everyday situations.

在极其重要的生活领域中指导人类行为的规范被称为习俗。（Mores是一个拉丁词，是mos的复数，意为习俗。）习俗为人们定义了某种特定行为是对是错，或者说是道德还是不道德。如果一个人一贯违反某种民俗，比如在晚宴上喝醉，将来可能会被女主人拒之门外，但如果一个人违反习俗，比如杀死另一位晚宴客人，则会以社会的名义受到惩罚（即通过法律行动）。违反习俗被视为对整个社会的犯罪。用否定词（“你不可”）表达的习俗以及被认为对社会群体极其令人厌恶的行为被归类为禁忌。在大多数社会中，禁忌包括乱伦和同类相食。

Norms that guide human behavior in areas of life that are considered of extreme importance are called mores. (Mores is a Latin word, the plural of mos, meaning custom.) Mores define for people whether a specific act is right or wrong, or its morality or immorality. A person who consistently violates some folkway, such as by becoming drunk at a dinner party, may be excluded by the hostess in the future, but a person who violates mores, such as killing another dinner guest, is punished in the name of society (that is, by legal action). The violation of mores is considered a crime against the whole society. Mores that are expressed in negative terms (“thou shalt not”) and that deal with acts considered extremely repellent to the social group are categorized as taboos. In most societies, taboos include incest and cannibalism.

禁忌深深地铭刻在大多数社会成员的良知中。有些人的身体状况使其无法做出被严禁的行为，但其他人格上的影响可能会削弱禁忌和习俗的影响力。为了防止这种情况发生，或为了明确和强化习俗和禁忌的效力，社会会制定法律，禁止特定行为，否则将处以监禁甚至死刑。法律是正式的行为准则，对整个社会具有约束力。它们明确规定了哪些行为被视为越轨，以及针对每种越轨行为应采取的适当惩罚。惩罚由社会的官方代表执行。

Taboos are deeply etched in the conscience of most members of a society. Some people are physically incapable of performing an act that is forbidden so strongly, but other influences on the personality may weaken the hold of taboos and mores in general. To prevent this, or to clarify and strengthen the effect of mores and taboos, societies pass laws that prohibit specific acts under penalty of imprisonment and even death. Laws are formal codes of behavior that are binding on the whole society. They specify both the behavior that is considered deviant and the punishment appropriate for each kind of deviation. The punishment is meted out by official representatives of the society.

在一个复杂、异质且正在经历快速社会变革的社会中，法律尤为必要，因为许多规范不够清晰，难以被众多不同群体理解或接受。在亲属关系更为紧密的简单社会中，较少的规范足以防止出现太多偏差。与规范不同，法律并非被个人内化（它们不会成为其人格的一部分），而是由大多数人习得并遵守，因为它们基于大多数人理解和接受的理性理念。法律越是紧密地强化社会普遍接受的习俗，其有效性就越高。

Laws are particularly necessary in a complex, heterogeneous society that is experiencing rapid social change because many norms are not clear enough for so many different groups of people to understand or accept. In simpler societies that have stronger kinship ties, a smaller number of norms is sufficient to prevent much deviation. Unlike norms, laws are not internalized by the individual (they do not become part of his or her personality) but are learned and obeyed by a majority of people because they are based on rational ideas that are understood and accepted by most. The more closely laws reinforce mores that are universally accepted in a society, the more successful the laws are.

法律相对于民俗和习俗的优势在于，如果法律失效，可以被废除或修改。而民俗和习俗则往往在社会失去效用后，仍会作为习惯和风俗而长期存在。正因如此，社会有时会通过法律，希望民俗和习俗最终也能随之而来。

An advantage of laws over folkways and mores is that they can be repealed or modified if they do not work. Folkways and mores, on the other hand, tend to persist as habits and customs long after their usefulness in society has passed. That is one reason why laws are sometimes passed in a society with the hope that the folkways and mores will eventually follow.

社会控制的必要性

The Need for Social Control

规范体系在社会中是否有目的？毫无疑问，它们有。每个群体都必须确保其成员在大多数时间里符合群体的大部分期望。如果他们做不到，就会陷入无政府状态和混乱，群体的事务（群体成立的目的）就无法继续下去。如果这个群体是社会，情况尤其如此，因为社会事务关乎大量人的健康和福祉。试想一下，如果我们不能相信路上其他司机会在红灯前停车，会发生什么。即使大多数司机都遵守交通规则，高峰时段的交通也很糟糕，但如果交通拥堵，它就会变成一场彻头彻尾的噩梦，每天造成许多人死亡或致残。因此，社会必须有办法对其成员施加一定程度的控制，使他们至少遵守那些对群体生存至关重要的规则。

Do normative systems have a purpose in societies? Most emphatically, they do. Every group must ensure that its members conform to most of its expectations most of the time. If they do not, anarchy and disorder prevail, and the business of the group, the reason for which it was formed, cannot go on. This is especially true if the group in question is society, because the business of society concerns the health and welfare of a large number of people. Consider what would happen if we could not trust other drivers on the road to stop at a red light. Rush-hour traffic, bad as it is when most drivers obey the rules of the road, would be a total nightmare, leaving in its wake many dead or maimed every day. Society, therefore, must have ways of exerting a certain amount of control over its members to make them obey at least the rules that are vital to the survival of the group.

社会以多种方式行使这种社会控制。控制的终极形式是武力。武力是政治权力和权威的核心。代表这种权力和权威的人可以对违法者使用武力。警察可能会将试图逃跑的犯罪嫌疑人击倒在地，如果嫌疑人不听劝阻，甚至可能开枪。警官要求停止。然而，一个仅依靠武力进行社会控制的社会是一个严酷的社会，其特点是充满冲突或压迫。

A society exerts this social control in a number of ways. The ultimate form of control is physical force. Physical force is at the core of political power and authority. A person who represents such power and authority may use physical force against an individual who breaks the law. A police officer may knock to the ground an alleged perpetrator of a crime who is trying to escape and may even shoot if the individual does not heed the officer’s request to halt. However, a society that depends on force alone to exert social control is a harsh one, characterized by much conflict or oppression.

社会更常依赖于更为微妙的社会控制手段。社会控制可以通过经济压力来实施：为了获得并保住工作，大多数工人不得不遵守公司规章制度。职业压力会迫使大多数人在工作场所内外妥善履行职责；因此，牧师、神父或拉比不太可能在周六晚上出现在街角的酒馆里，尽管一些教区居民可能会这样做。网络上有很多文章从心理学角度对社会控制进行了深入的探讨，并描述了一些不常见的社会控制形式。

More frequently, societies depend on more subtle methods of social control. Social control can be exerted by economic pressure: the need to get and keep a job has most workers toeing the line as far as company regulations are concerned. Occupational pressures have the effect of making a majority of individuals perform their duties appropriately in or out of their place of work; a minister, priest, or rabbi, therefore, is not likely to be seen at the corner tavern on Saturday night, though some of the parishioners may spend their time this way. Thoughtful discussions of social control from a psychological perspective, as well as a description of unusual forms of social control, are available in a number of articles on the Web.

制裁

Sanctions

社会施加的最有效的压力可能以制裁的形式出现。制裁可以是消极的，也可以是积极的，官方的或非官方的。消极的制裁包括惩罚，而积极的制裁则代表奖励。在法律领域取得杰出成就后被任命为最高法院法官是一种官方的积极制裁；它是以整个社会的名义提供的奖励。被导师告知某人的论文展现了出色的见解是一种非官方的积极制裁；它是在小团体内获得的奖励。因违反联邦、州或地方法律而入狱的人会受到官方的消极制裁；该个人以社会的名义受到惩罚。由于吵闹、粗鲁行为而被要求离开的剧院观众会受到非官方的消极制裁；该个人也会受到惩罚，但方式更为非正式，因为违规行为不太严重，损害的是小团体，而不是整个社会。

Perhaps the most effective pressures exerted by societies come in the form of sanctions. Sanctions may be either negative or positive, official or unofficial. Negative sanctions consist of punishment, whereas positive sanctions represent rewards. Being named to the Supreme Court after a distinguished career in law is an official positive sanction; it is a reward offered in the name of the whole society. Being told by an instructor that one’s paper shows brilliant insights is an unofficial positive sanction; it is a reward received within a small group. A person who is jailed as a result of breaking a federal, state, or local law receives an official negative sanction; the individual is punished in the name of society. The theater patron who is asked to leave because of noisy, rude behavior receives an unofficial negative sanction; the individual is being punished, but more informally because the infraction is less severe and damages a small group, not the society as a whole.

令人惊讶的是，那些看似不那么严厉的非官方制裁，对个人的影响却最大。原因在于，我们更重视家人和朋友，而不是社会大众的官方代表（警察、法官等），尽管后者对我们的生活有更大的负面影响。我们宁愿被警察开超速罚单，也不愿被父亲责骂开车技术差。图3.1列出了非物质文化的组成部分。

Surprisingly, the unofficial sanctions, those that appear to be less severe, have the most impact on individuals. The reason for this is that we value members of our family and friends more than we do the official representatives of the larger society (police officers, judges, etc.), even though the latter have more power to affect our lives negatively. We would rather get a speeding ticket from a police officer than be told by our father that we are a lousy driver. The components of nonmaterial culture are listed in Figure 3.1.

归根结底，通过强制执行规范进行的社会控制之所以有效，是因为个体渴望被群体接纳。研究人员发现，即使在小组讨论中，个体最终也倾向于改变想法，以迎合其他人表达的共识。在一个20人的小组中，如果15人持相同观点，5人持相反观点，那么很有可能这5人最终会同意大多数人的观点。在社会中，人们也渴望被接纳；因此，顺从者比不顺从者要多得多。

In the final analysis, social control through the enforcement of norms works because individuals are so anxious to be accepted by the group. Researchers have found that, even in group discussions, individuals tend eventually to change their minds to conform to the consensus of opinions expressed by other individuals. In a group of 20, if 15 argue one point and five argue the opposite point, chances are good that in time the five opponents will come to agree with the majority. In society, too, people yearn for acceptance; thus, many more are conformists than nonconformists.

公开和隐蔽、现实和理想的规范

Overt and Covert, Real and Ideal Norms

关于规范，还有几点需要注意。首先，尽管文化规范已牢牢扎根于大多数人的个性中，但这并非适用于每个人。每个社会中总会有少数人无视部分规范，但无视或拒绝所有社会规范的人无法继续在社会群体中生存。其次，每个社会都会出现一些规范，这些规范并非官方认可的正确行为，但却被人们广泛践行。因此，我们可以说一种公开的文化，它描述的是官方认可的行为模式；另一种是隐蔽的文化，一些人的实际行为则遵循这种文化。一个公开信奉高尚性行为道德标准的人，私下里可能会被发现有滥交的性行为。

A few more points should be noted regarding norms. First, although the norms of their culture are firmly embedded in the personality of most individuals, this is not true of each and every individual. A minority of people in every society always ignores some of the norms, but no one who ignores or rejects all social norms can continue to live in a social group. Second, in every society some norms emerge that are not officially accepted as proper behavior but that are widely practiced by people anyway. So it is possible to speak of an overt culture, which describes the officially accepted patterns of behavior, and of a covert culture, according to which some people actually behave. A person who publicly subscribes to a high moral standard of sexual behavior may be found to engage in promiscuous sexual behavior privately.

事实上，我们可以在每个社会中认识到一种理想文化，由正式的、被认可的民俗、习俗和法律组成，以及一种真正的文化，由人们实际他们的行为和实际表现如何。尽管这种情况可能被认为是虚伪的，但理想文化的存在提供了一种人们可以向往的行为模式。

The fact is that we can recognize in each society an ideal culture, consisting of the formal, approved folkways, mores, and laws, and the real culture, consisting of what people actually do and how they really behave. Although this situation may be considered hypocritical, the existence of the ideal culture provides a model of behavior toward which people may aspire.

特质、情结和制度

Traits, Complexes, and Institutions

为了便于分析，文化进一步分为特质、情结和制度。文化特质是文化的最小元素或单位。在物质文化中，社会中人们使用的每件物品都是一种特质。在非物质文化中，社会中存在的每一个观念、象征或信仰都是一种特质。一颗钉子、一块砖头和一栋房子都是物质文化的特质；向国旗敬礼（表示爱国）、亲吻（象征爱意）、投票（对特定政治制度的信仰）和祈祷（对超越生命的信仰）都是非物质文化的特质。

For purposes of analysis, culture is further classified into traits, complexes, and institutions. Culture traits are the smallest element, or unit, of culture. In material culture, every single object that people in a society use is a trait. In nonmaterial culture, every single idea, symbol, or belief existing in a society is a trait. A nail, a brick, and a house are all traits of material culture; saluting the flag (denoting patriotism), kissing (a symbol of affection), voting (a belief in a particular political system), and praying (faith in a transcendent life) are all traits of nonmaterial culture.

围绕一项活动积累的一系列相关特质构成了一种文化情结。足球是一种由物质特质（橄榄球皮、球衣、头盔、场地等）和非物质特质（球员的能力、规则、求胜信念、团队精神等）构成的文化情结。人类生活的各个领域都展现出无数的文化情结。

A number of related traits that accumulate around an activity form a culture complex. Football is a culture complex consisting of material traits (the pigskin itself, uniforms, helmets, a field, etc.) and nonmaterial traits (the ability of the players, a set of rules, a belief in winning, team spirit, etc.). All areas of human life display numerous culture complexes.

当多种文化复合体围绕着一项核心人类活动聚集时，一种制度便应运而生。制度是由相互关联的规范和文化复合体构成的正式信仰和行为体系。在上例中，体育就是一项制度，而足球则是一个文化复合体。

When a number of culture complexes cluster around a central human activity, an institution emerges. Institutions are formal systems of beliefs and behavior composed of interrelated norms and culture complexes. In the preceding example, sport is the institution of which football is a culture complex.

枢纽机构

Pivotal Institutions

制度的重要性在于，它们围绕着人类的某些基本需求而产生，而这些需求必须得到满足，才能使个人生存，社会繁荣。五大基本（或关键）制度源于人类的五大最基本需求：家庭（需要为社会补充新成员，规范性行为，并照顾无助的新生儿）；经济（需要获取食物、住所和衣物）；政府（需要维持和平与秩序）；教育（需要传承文化，培养新一代）；以及宗教（需要克服对未知的恐惧，并寻求生命意义的解释）。

What is important about institutions is that they emerge around some fundamental human need that must be filled for the individual to survive and the society to prosper. The five basic (or pivotal) institutions, which arose from the five most fundamental human needs, are the family (need to replenish society with new members, regulate sex, and care for the helpless newborn); the economy (need to procure food, shelter, and clothing); government (need to maintain peace and order); education (need to transmit culture and train new generations); and religion (need to overcome fear of the unknown and find explanations of the meaning of life).

这五项基本制度为所有社会所共有。然而，它们所呈现的形式以及所展现的特征和情结却因社会而异。在后续章节中，我们将详细讨论美国社会的各项关键制度。目前，值得注意的是，制度是文化工具，旨在引导人们如何以有利于自身和社会的方式行事，并以最佳方式满足其生理需求。文化制度在社会成员心中根深蒂固，以至于他们开始相信，除了制度之外，他们的需求无法通过任何其他方式得到满足。事实上，那些未能遵循某种制度准则行事的人会被排斥，并常常认为自己人生失败。离婚后再婚率高企证明，人们愿意不断尝试，以在婚姻这一文化制度中取得成功。

These five basic institutions are common to all societies. However, the forms they assume and the traits and complexes they display differ from society to society. In later chapters, each of the pivotal institutions of American society will be discussed in some detail. For now, it is well to note that institutions are cultural instruments designed to show people how to behave in such a way as to benefit them and the society and fulfill their biological needs in the best possible manner. Cultural institutions are entrenched so deeply in societal members that they come to believe that their needs cannot be fulfilled in any other way. In fact, those who fail to behave according to the precepts of one institution or another are ostracized and often believe themselves to be failures in life. The high rates of remarriage after divorce prove that individuals are ready to try and try again to succeed in the cultural institution of marriage.

民族中心主义与文化相对论

Ethnocentrism and Cultural Relativity

“没有哪个地方比得上家”这样的论调在每个社会成员心中都会响起，他们谈论的都是自己的国家或地区。虽然我们大多数人可能是美国人，但我们中的许多人却属于因种族或民族而彼此不同的群体。血统或宗教信仰；在这些群体中，我们称自己为“我们”，称他人为“他们”。之所以有这种感觉，是因为我们觉得在出生和成长的地方，以及与我们类似的人群中，我们感到舒适自在。事实上，这种舒适自在是如此之快，以至于我们从特定地方和群体的文化中内化的任何事物，在我们看来都是正确且合乎情理的。当然，另一方面，其他地方和群体的习俗在我们看来是错误的、低劣的。在这种信念下，我们表现出民族中心主义，即认为自己的社会优于其他社会，并以此为依据用自己的标准来评判其他社会。这种态度虽然常常不合理，但却反映了我们的文化灌输：所有与我们不同的习俗都是某种程度上的不正常——往好了说是奇怪的，往坏了说是不文明的。在谷歌搜索“民族中心主义”时，你可能会在一个网站上找到一个有趣的民族志分析。

Statements to the effect that “there is no place like home” are echoed by members of every society about their own country or region. And though most of us may be Americans, many of us belong to groups that are distinct from one another by reason of race, or ethnic origin, or religion; within these groups, we refer to ourselves as “us” and to the others as “them.” The reason for such feelings is that we feel comfortable in the place in which we were born and brought up and among people much like us. So comfortable, in fact, that whatever we internalize from the culture of a specific place and group seems right and proper to us. The other side of the coin, of course, is that the customs of other places and groups seem to us wrong and inferior. In this belief, we display ethnocentrism, a belief that one’s own society is superior to others based on judging other societies with the standards of one’s own. This attitude, though often irrational, reflects our cultural indoctrination that all customs that differ from our own are somehow abnormal—strange at best, uncivilized at worst. An interesting ethnographic analysis of ethnocentrism may be found on a Web site when you google “ethnocentrism.”

如上所述，所有社会，乃至所有群体，都表现出一定程度的民族中心主义；适度的民族中心主义具有促进群体内部团结和忠诚的积极作用。然而，过度的民族中心主义会导致与不同群体的冲突，或者，当一个群体比另一个群体更强大时，会导致压迫，有时甚至导致种族灭绝。纳粹德国就是这种情况，当时政府决心消灭其认为低劣的群体：犹太人、吉普赛人、同性恋者、身心障碍者等等。更近一些，前南斯拉夫也发生了类似事件，信奉东正教的塞尔维亚人、信奉罗马天主教的克罗地亚人以及大多数信奉穆斯林的科索沃人和阿尔巴尼亚人，在各自的地区相互进行“种族”清洗。在卢旺达，胡图族和图西族相互实施了种族灭绝行为。在阿拉伯社会，逊尼派和什叶派这两个不同伊斯兰教派别的信徒也参与了敌对行动和暴力活动。简而言之，尽管大多数社会早已摒弃部落生活，转而支持政治分裂，但部落主义仍然根深蒂固地存在于人们心中。甚至有人拒绝购买其他社会生产的产品，这体现了消费者的民族中心主义。

As noted, all societies and, for that matter, all groups display a certain amount of ethnocentrism; in moderation, ethnocentrism has the positive effect of promoting unity and loyalty within the group that exhibits it. In excess, however, ethnocentrism leads to conflict with groups that are dissimilar, or, when one group is more powerful than another, to oppression and sometimes to genocide. This was the case in Nazi Germany when the government determined to annihilate groups it considered inferior: Jews, Gypsies, homosexuals, the mentally and physically impaired, and others. More recently it happened in the former Yugoslavia, in which Serbs who are Orthodox, Croats who are Roman Catholic, and Kosovans and Albanians, most of whom are Muslims, engaged in “ethnically” cleansing their respective regions of each other. In Rwanda, the Hutu and the Tutsis committed genocidal acts against each other. And in Arab societies, the followers of the two different strains of Islam, Sunni and Shia, also engage in hostilities and violence. In short, tribalism is still deeply embedded in people, despite the fact that most societies long ago abandoned tribal life in favor of political divisions. There is even evidence of consumer ethnocentrism when some individuals refuse to buy products manufactured in other societies.

为了抵消民族中心主义的负面影响，人类学家意识到该学科的早期实践者尤其容易犯下这种错误，因此建议推广文化相对论的概念。文化相对论的支持者认为，必须根据文化本身的条件，在其社会背景中进行分析。任何社会都无权用自己的价值观和规范来评判其他社会的特征。根据这种观点，文化之间不存在普遍适用的规范或绝对道德标准：文化没有优劣之分，只是存在差异而已。这并不意味着我们在看待其他文化时会赞同或认可某些行为，也不意味着我们会抛弃自身的文化或道德价值观。这仅仅意味着我们应该以宽容、尊重和理解的态度对待其他文化。

To counter the negative effects of ethnocentrism, anthropologists, aware that the early practitioners of the discipline were especially guilty of it, have suggested that the concept of cultural relativity be popularized. Proponents of cultural relativity assert that cultures must be analyzed on their own terms, in the context of their own societal setting. No society has the right to use its own values and norms to judge the traits of another society. In this view, there are no universal norms or moral absolutes when it comes to cultures: cultures are neither better nor worse, only different. This does not mean that in looking at other cultures we agree with or approve of certain behaviors, or that we discard our own cultural or moral values. It merely means that other cultures should be approached with attitudes of tolerance, respect, and understanding.

文化差异与共性

Cultural Differences and Universals

早期探险家、传教士和冒险家初次接触异域社会时，当然会以自身民族中心主义的标准来评判。在一些更具异域风情的社会中，他们难免会经历我们如今所说的“文化冲击”。他们推测，异域文化的差异源于种族、地理甚至宗教因素。然而，尽管所有这些因素都会影响文化的发展进程——自然环境显然会影响文化，例如亚马逊丛林中无法建造冰屋，棕榈屋也无法成为阿拉斯加人的传统住所——却找不到一个理由能够完美地解释一种文化与另一种文化之间的差异。

When early explorers, missionaries, and adventurers first came in contact with foreign societies, they of course judged them according to their own ethnocentric standards. In some of the more exotic societies, they could not help experiencing what we now call “culture shock.” They explained the dissimilarities of foreign cultures by speculating that they were due to racial, geographic, and even religious causes. However, although all these influences have a bearing on the course of cultural development—obviously, the natural environment influences culture in the sense that no igloos can be built in the Amazonian jungle, nor palm huts become the customary dwellings of Alaskans—no one reason can be found to explain perfectly what makes one culture dissimilar from another.

尽管有些差异看似惊人，但不同文化之间的相似之处远多于差异。正如前文所述，所有社会都存在一些关键的制度。此外，许多规范、价值观和信仰也出乎意料地相似。所有人都喜欢装饰自己，无论是鼻环、耳环还是手指环；所有人都有一些饮食禁忌，无论是反对吃牛、猪还是狗。所有人都有某种形式的音乐和舞蹈，以及某种形式的艺术或手工艺。

As striking as some differences appear to be, cultures have many more similarities than differences. Pivotal institutions, as already stated, are present in all societies. Further, many norms, values, and beliefs are also unexpectedly similar. All people enjoy adorning themselves, whether with a ring through the nose, on an earlobe, or on a finger; all people have some food taboos, whether it is against eating cows or pigs or dogs. All people have some form of music and dancing and some form of art or handicraft.

社会人类学家乔治·P·默多克（George P. Murdock，1965）整理了一份长长清单，列出了所有已知文化的共同元素。这份清单涵盖了诸如娱乐、待客之道和天气控制等差异巨大的元素。所有文化的共同点被称为文化共性。它们是各种文化基于其发展出自身独特变体的普遍主题。如此众多的文化共性的存在，让我们得出的结论是，我们确实拥有共同的人类纽带。

Social anthropologist George P. Murdock (1965) compiled a long list of elements that are common to all known cultures. The list includes such widely different elements as play, hospitality, and weather control. Similarities common to all cultures are called cultural universals. They are general themes on which each culture develops its own variations. The conclusion we draw from the fact that so many cultural universals exist is that we truly share common human bonds.

随着时间的推移，文化会发生变化。变化可能迅速而剧烈，也可能缓慢而难以察觉。变化的种类、过程及其结果将在第十章讨论。

Over time, cultures undergo change. Change may be fast and dramatic or slow and imperceptible. The kinds and the processes of change, as well as its results, are discussed in Chapter 10.

亚文化与反文化

Subcultures and Countercultures

如前所述，多样性与一致性不仅是社会的特征，也是每个社会内部群体的特征。当代科技发达的社会尤其如此，它们往往呈现异质性（由不同的群体组成），这不仅是因为它们吸引了来自世界各地的人们来到其优越的经济体，也因为许多社会是由多个不同的族群联合而成的政治单位。

Variation and uniformity, as noted earlier, are characteristic not only of societies but also of groups within each society. This is especially true of contemporary technologically advanced societies, which tend to be heterogeneous (made up of dissimilar groups) not only because they attract people from all over the world to their superior economies but also because many societies have been created as political units by uniting a number of separate ethnic groups.

亚文化。几个世纪以来，美国本土居民和最初来自英国的定居者不断受到来自世界各地的人们的影响。如今，群体的存在基于成员的种族、民族或原籍国、宗教信仰以及其他诸多显著特征。即使在更加同质化的社会中，人们也会根据其居住地（北方人或南方人）、职业（音乐家、马戏团杂技演员、医生、律师）、社会阶层（白人新教徒或雅皮士、中产阶级或工人阶级）、宗教信仰（罗马天主教徒、穆斯林、新教徒、犹太教徒）、性取向（同性恋者、异装癖者、双性恋者），甚至年龄（青少年、老年群体）来划分群体。社会学家将这些细分群体，即社会大群体中的群体，称为亚文化。

Subcultures. In the United States, the native inhabitants and the original settlers who came from England have been augmented, through the centuries, by numerous people from all over the globe. Today, groups exist on the basis of the members’ race, ethnicity or country of origin, religion, and numerous other distinguishing features. Even in more homogeneous societies, people form groups based on the region in which they live (Northerners or Southerners), their occupation (musicians, circus acrobats, doctors, lawyers), their social class (WASPS or Yuppies, middle class or working class), their religion (Roman Catholics, Muslims, Protestants, Jews), their sexual preference (gay persons, transvestites, bisexuals), or even their age (teenagers, golden-agers). Sociologists refer to these subdivisions, these groups within the larger group of the society, as subcultures.

图 3.3在战争情况下，甚至连反对杀戮的强大文化规范也被忽视了。

IMAGE 3.3 In a war situation, even the strong cultural norm against killing is ignored.

iStock：© zabelin

iStock: © zabelin

亚文化具有独特的特征，使其区别于社会的主流文化，但同时也保留了该文化的主要特征。（“亚文化”一词并非暗示其低于主流文化——它仅指其是主流文化的一部分。）青少年就是亚文化的一个很好的例子。他们无疑认同主流社会文化的目标和价值观，并受其规范模式的引导。同时，他们的许多兴趣和某些行为方式也体现了其年龄段的特色：青少年似乎拥有独特的语言、独特的着装风格、对特殊音乐的品味，以及对特定食物和娱乐方式的喜爱。

Subcultures have distinctive features that set them apart from the general culture of the society, yet they retain the principal features of that culture. (The word subculture never implies any inferiority to the larger culture—it refers only to its being a segment of that larger culture.) Teenagers are a good example of a subculture. They certainly identify with the goals and values of the larger societal culture and are guided by this culture’s normative patterns. At the same time, many of their interests and some aspects of their behavior are peculiar to their age group: teenagers seem to have a special language, a distinctive manner of dress, a taste for special kinds of music, and a fondness for specific foods and forms of recreation.

青少年亚文化是一种暂时的亚文化；也就是说，随着年龄的增长，他们会逐渐放弃这种文化。然而，有些亚文化却更为持久。尽管美国曾一度被视为一个大熔炉——或者至少美国社会声称要成为大熔炉——但实际上，我们之中存在着大量基于种族和民族的亚文化群体。历史上，这些群体倾向于融入主流文化，但如今，许多亚文化群体选择保持一定程度的文化独特性。这种愿望引发了争议，尤其是当这些群体公开拒绝融入主流文化，并且其价值观和传统与社会法律发生冲突时。

Teenagers are a temporary subculture; that is, as people grow older, they abandon it. Some subcultures are much more permanent, however. Although the United States was at one time considered a melting pot—or at least it was the alleged goal of the society to become a melting pot—in reality a large number of subcultural groups based on race and ethnicity exist among us. Historically such groups preferred to be absorbed into the mainstream culture, but today many subcultural groups choose to maintain a degree of cultural distinctiveness. This desire has produced controversy, particularly when such groups are vocal in their refusal to blend into the mainstream and when their values and traditions clash with the laws of the society.

反文化。有时，社会中出现的群体会带有一种时尚的特质，即它们来得快去得也快。反文化与亚文化的区别在于，它是指社会中一个群体，其成员认同一种价值观体系，并这些目标与更广泛的社会文化目标截然相反。20世纪，美国见证了20世纪50年代“垮掉的一代”的崛起，以及一代人之后的“嬉皮士”。这些群体有着许多与更广泛的社会目标不同的共同目标，其中最主要的是反物质主义，拒绝在性、吸毒和工作需求等方面的传统道德。嬉皮士和“花童”也反对越南战争，并坚决支持个人自由，反对在他们看来由“建制派”强加的规范。长期的经济衰退以及其他因素，终结了几乎所有反主流文化的生活方式，只剩下极少数的残余。然而，许多反主流文化的思想被主流文化所吸收，就像它的外在象征——长发、色彩鲜艳的中性服装和音乐——一样。或许有人会说，反主流文化的成功本身就预示着它的末日，但它的真正目标从未实现。

Countercultures. Sometimes groups that emerge in a society have a faddish quality, in the sense that they come and go rather quickly. A counterculture differs from a subculture in that it is a group within the larger society whose members adopt a value system and goals that are in direct opposition to those of the wider societal culture. In the twentieth century, the United States witnessed the emergence of the “beatniks” in the 1950s, and of the “hippies” a generation later. These groups shared many goals that differed from those of the wider society, chief among them anti-materialism, rejection of conventional morality in the areas of sex, drug use, and the need to work. The hippies and “flower children” also stood in opposition to the Vietnam War and were fierce supporters of individual freedom as opposed to the norms superimposed, in their view, by the “establishment.” A lengthy period of economic recession, among other things, put an end to all but a small residue of countercultural lifestyles. Many of the countercultural ideas, however, were absorbed by the mainstream culture, just as its outward symbols—the long hair, the colorful unisex attire, and the music—had been. It may be argued that the very success of the counterculture spelled its doom, but its real goals were never achieved.

图片 3.4装扮自己是一种文化共性，也就是说，在每种文化中，人们都会装扮自己。在美国社会以及整个西方社会，纹身和鼻环并非主流的装饰形式。然而，正如这张照片所示，它们在亚文化或反文化群体中却很常见。

IMAGE 3.4 Adorning oneself is a cultural universal, that is, in every culture people adorn themselves. In American society, and in Western societies in general, tattoos and nose piercings are not a type of adornment used in the mainstream. However, they are common in subcultural or countercultural groups as shown in this photo.

iStock：© Flamingo_Photography

iStock: © Flamingo_Photography

“朋克”和“摩托车手”也表现出对传统规范和民俗的拒绝，朋克的特点是他们色彩鲜艳但又怪异的发型和服装，而“摩托车手”如地狱天使，他们的生活方式显然以摩托车、酒精和毒品为中心。

A rejection of conventional norms and folkways is also displayed by “punkers,” identified by their colorful if bizarre hairstyles and clothing, and “bikers,” such as the Hell’s Angels, whose lifestyle apparently centers on motorcycles, alcohol, and drugs.

有些犯罪团体是反文化的，但并非所有犯罪团体都是如此；大多数罪犯接受其所在社会的目标，只拒绝实现这些目标的手段。一群青少年罪犯通常被认为是反文化的，因为他们的价值观和行为准则与更广泛的文化截然不同，甚至背道而驰。然而，有组织犯罪的成员或从事盗窃和诈骗的罪犯并不属于反文化；对他们来说，犯罪只是获得他人必须努力争取（或继承）的物质成功的捷径。

Some criminal groups are countercultural, although not all are; most criminals accept the goals of their society and reject only the means of attaining them. A gang of delinquent youths is usually considered countercultural because its set of values and standards of behavior are distinct from, or run counter to, those of the wider culture. Members of organized crime, however, or criminals who engage in theft and fraud, are not countercultural; for them, crime is simply a shortcut to attaining the material success that others must work for (or inherit).

几乎每个历史时期以及大多数社会都曾出现过反主流文化，尽管在某些时期，社会过于僵化，无法容忍反主流文化，并压制任何不墨守成规的尝试。如今，我们对不墨守成规的生活方式更加宽容，当然，当这种生活方式危及大多数人的生命或财产时，就必须予以取缔。宣称憎恨联邦政府或特定少数群体（“光头党”）的恐怖组织和准军事组织不时出现，并造成了诸如俄克拉荷马城联邦大楼爆炸案等悲剧性后果，造成巨大的人员伤亡。基地组织和类似的圣战组织针对西方目标发动的袭击，是全球恐怖主义体系的杰作，与其说是社会层面的反主流文化，不如说是全球层面的反主流文化。

Almost every historical period, as well as most societies, has had its counterculture, although in some periods societies were too rigid to tolerate a counterculture and suppressed any attempts at nonconformity. Today, we have become much more tolerant of nonconforming lifestyles, although, of course, when such lifestyles endanger the lives or property of the majority, they must be proscribed. Terrorist groups and paramilitary groups proclaiming their hatred for the federal government, or for specific minority groups (the “Skinheads”), crop up periodically, with such tragic outcomes as the bombing, with enormous loss of life, of the Oklahoma City Federal Building. The attacks perpetrated by al Qaeda and similar Jihadi groups against Western targets are the work of a world terrorist system that may be described as countercultural in a global, rather than a societal, sense.

群体互动，尤其是在社会中，最重要的产物是文化。文化或许可以被肤浅地定义为特定族群的生活方式，但它的意义远不止于此。至少，它是社会生活的蓝图。文化最基本的元素是语言，这是一种符号系统，它使人们能够积累知识，并在不依赖个人经验的情况下进行传播。符号的共享是一种比人类以外的动物赖以生存和相互交流的遗传信号更有效的生存工具。

The most important product of the interaction that occurs in groups, especially in societies, is culture. Culture may be superficially defined as the way of life of a specific people, but it is much more than this. At the very least, it is a blueprint for living in society. The most basic element of culture is language, a system of symbols that allows people to accumulate knowledge and transmit it without relying on personal experience. The sharing of symbols is a much more effective tool for survival than are the genetically inherited signals with which animals other than humans cope with life and communicate with each other.

文化既包含物质内容（有形产品和物品），也包含非物质内容（思想、价值观、知识、信仰、行为准则和制度）。一个社会的非物质文化很大程度上是由规范构成的；这些行为准则是社会成员通过互动习得并共享的。规范包括民俗、习俗、禁忌和法律。

Culture has both material content (tangible products and objects) and nonmaterial content (ideas, values, knowledge, beliefs, rules for behavior, and institutions). Much of a society’s nonmaterial culture is made up of norms; rules of behavior that are learned and shared by each member of the society through interaction. Norms include folkways, mores, taboos, and laws.

文化结构由特质（文化的最小单位）、文化复合体（一系列相关的特质）和制度构成。制度是信仰和行为的正式体系，由以下部分组成：相互关联的规范和文化情结。制度主要关注并帮助满足人类的普遍需求。所有人类社会都共有五项基本（关键）制度：家庭、经济、教育、政府和宗教。

The structure of culture consists of traits (the smallest unit of culture), culture complexes (a number of related traits), and institutions. Institutions are formal systems of beliefs and behavior, composed of interrelated norms and culture complexes. Institutions primarily focus on and help fill universal human needs. Five basic (pivotal) institutions are common to all human societies: the family, the economy, education, government, and religion.

每个社会的文化都与其他社会的文化既有异同，也有相似之处。对于特定社会的成员来说，某种外来文化可能显得非理性或愚蠢，但这种印象是有偏见的，因为该文化的评判标准是评判者自身的标准（民族中心主义）。用文化相对论来评判外来文化更为公正，因为每种文化都是在其自身的社会背景下，并基于其如何满足其成员的需求来进行分析的。

The culture of each society is both different from and similar to the culture of other societies. To members of a specific society, a foreign culture may appear irrational or silly, but that impression is biased because the culture is judged by the standards of those who are doing the judging (ethnocentrism). It is more just to use cultural relativity to judge foreign cultures, because then each culture is analyzed in its own societal context and on the basis of how well it fills its members’ needs.

不同社会之间的文化差异部分源于地理和其他因素，目前我们对这些因素知之甚少。不同文化之所以展现出相似的特征，是因为所有文化都必须满足人类普遍的需求，包括生理和情感方面的需求。所有文化共有的特征被称为文化共性。

Cultural differences among societies are partly the result of geographic and other factors, of which little is yet known. The similar characteristics displayed by cultures arise because all cultures must help to fulfill universal human needs, both biological and emotional. Characteristics common to all cultures are called cultural universals.

由于社会由各种群体构成，单个社会内部的文化也各不相同。一个社会中的群体可能基于地理位置、社会阶层、职业、种族、民族、宗教等因素而有所差异。这些群体可能形成独特的文化，包括独特的语言或术语、习俗、传统和仪式。如果该群体的主要价值观与社会普遍文化的价值观相同，则该群体被称为亚文化。如果该群体的主要价值观与主流文化的价值观截然相反，则该群体被称为反文化。

Because societies are made up of various groups, culture also varies within single societies. Groups within a society may be differentiated on the basis of geographic location, social class, occupation, race, ethnicity, religion, and so on. Such groups may produce a distinctive culture, including a separate language or jargon, customs, traditions, and rituals. If the principal values of such a group are the same as those of the general culture of the society, the group is called a subculture. If the principal values are in direct opposition to those of the larger culture, the group is called a counterculture.

反主流文化 拥有与主流社会截然相反的价值体系和目标的群体。

counterculture A group that possesses a value system and goals that are in direct opposition to those of the larger society.

文化相对论 根据每种文化自身的条件和社会背景来评判每种文化的一种态度。

cultural relativity An attitude of judging each culture on its own terms and in the context of its own societal setting.

文化共性 所有文化所共有的相似性（例如：关键机构的存在）。

cultural universals Similarities common to all cultures (example: the existence of pivotal institutions).

文化： 社会中人们的生活方式。社会成员通过互动所学习和分享的总和。文化是社会互动的产物，也是进一步互动的指南。文化包括物质和非物质层面。

culture The way of life of people in a society. The totality of what is learned and shared by the members of a society through their interactions. The product of social interaction and a guide for further interaction. Culture includes material and nonmaterial aspects.

文化复合体 围绕特定人类活动积累的一系列相关特征。

culture complex A number of related traits that accumulate around a specific human activity.

文化特质： 文化的最小元素或单位。在物质文化中，文化特质指任何单一的物体。在非物质文化中，文化特质指任何单一的理念、符号或信仰。

culture trait The smallest element or unit of culture. In material culture, it is any single object. In nonmaterial culture, it is any single idea, symbol, or belief.

民族中心主义 认为自己的文化是正确的，而与之不同的文化模式是错误的态度。

ethnocentrism The attitude that one’s own culture is right and that cultural patterns different from it are wrong.

民俗指导日常生活中的行为规范；习惯和习惯的行为方式。

folkways Norms that direct behavior in everyday situations; customary and habitual ways of acting.

机构围绕一个中心人类活动聚集的多种文化综合体。

institution A number of culture complexes clustering around a central human activity.

法律： 正式的行为准则。法律对整个社会具有约束力；法律规定了偏离规范的行为，并明确了惩罚措施。

laws Formal codes of behavior. Laws are binding on the whole society; they outline behavior that deviates from the norm and define prescriptions for punishing it.

道德规范 ：指导被认为对社会极其有害或极其有益的行为的规范。它们界定了行为的正确与否，以及其道德与否。违反道德规范将受到社会的惩罚。

mores Norms that direct behavior considered either extremely harmful or extremely helpful to society. They define the rightness or wrongness of an act, its morality or immorality. Violation of mores is punished by society.

规范体系 规范人类行为的规则体系。

normative system A system of rules regulating human behavior.

规范在非正式和正式场合下规定行为的行为标准；一套行为期望。

norms Behavioral standards that dictate conduct in both informal and formal situations; a set of behavioral expectations.

制裁法律和正式组织（官方）或与其互动的人（非官方）针对个人或团体实施的奖励（正面）或惩罚（负面），以鼓励或阻止特定类型的行为。

sanctions Rewards (positive) or punishments (negative) directed at individuals or groups by either legal and formal organizations (official) or the people with whom one interacts (unofficial) to encourage or discourage specific types of behavior.

信号对外界刺激的生物决定和基因传递的反应。

signals Biologically determined and genetically transmitted responses to outside stimuli.

社会控制 通过遵守规范（民俗、习俗、禁忌和法律）来维持社会秩序的过程。

social control The process by which order is maintained within society through obedience to norms—folkways, mores, taboos, and laws.

亚文化 具有与更大社会文化不同的独特特征但仍保留主流社会普遍价值观的群体。

subculture A group that has distinctive features that set it apart from the culture of the larger society but still retains the general values of mainstream society.

符号： 以表征形式对刺激做出的、与基因无关的反应：用一个词或一个图像来代表一个物体或一种感觉。符号是后天习得的，可以以无数种方式改变、修改、组合和重新组合。语言、音乐和艺术是常见的符号系统。

symbols Genetically independent responses to stimuli in the form of representations: a word or image standing for an object or a feeling. Symbols are learned and can be changed, modified, combined, and recombined in an infinite number of ways. Language, music, and art are common symbol systems.

禁忌：以负面措辞表述的习俗。它们主要针对的是被社会群体视为极其排斥的行为。

taboos Mores stated in negative terms. They center on acts considered extremely repellent to the social group.

布莱克，朱迪思和金斯利·戴维斯。1964年。“规范、价值观和制裁”。载罗伯特·EL·法里斯主编，《现代社会学手册》。芝加哥：兰德·麦克纳利出版社，第456页。

Blake, Judith, and Kingsley Davis. 1964. “Norms, Values, and Sanctions.” In Robert E. L. Faris, ed., Handbook of Modern Sociology. Chicago: Rand McNally, p. 456.

Jolly, Clifford J. 和 Randall White。1995。《体质人类学与考古学》，第五版。纽约：麦格劳希尔。

Jolly, Clifford J., and Randall White. 1995. Physical Anthropology and Archaelogy, 5th ed. New York: McGraw-Hill.

凯勒，海伦。1903年。《我的一生的故事》。纽约：Doubleday出版社，第24页。

Keller, Helen. 1903. The Story of My Life. New York: Doubleday, p. 24.

Murdock, George Peter。1965。《社会结构》。纽约：自由出版社。

Murdock, George Peter. 1965. Social Structure. New York: Free Press.

萨丕尔，爱德华。1949。《爱德华·萨丕尔语言、文化与人格选集》，戴维·G·曼德尔鲍姆编。伯克利：加州大学出版社。

Sapir, Edward. 1949. Selected Writings of Edward Sapir in Language, Culture, and Personality, David G. Mandelbaum, ed. Berkeley: University of California Press.

萨丕尔，爱德华。1960。《文化、语言与人格：精选论文》。伯克利：加州大学出版社。

Sapir, Edward. 1960. Culture, Language and Personality: Selected Essays. Berkeley: University of California Press.

舒特，南希。2001 年。“我们从哪里来。” 《美国新闻与世界报道》。1 月 29 日，第 34-41 页。

Shute, Nancy. 2001. “Where We Come From.” U.S. News & World Report. January 29, pp. 34–41.

斯宾塞，赫伯特。1873。描述社会学。第一卷。纽约：阿普尔顿。

Spencer, Herbert. 1873. Descriptive Sociology. Vol. I. New York: Appleton.

Subramanian, Sribala。1995 年。“我们基因中的故事。”《时代》杂志，1 月 16 日，第 54-55 页。

Subramanian, Sribala. 1995. “The Story in Our Genes.” Time, January 16, pp. 54–55.

Whorf, Benjamin。1956。《语言、思想与现实》。纽约：Wiley。

Whorf, Benjamin. 1956. Language, Thought and Reality. New York: Wiley.

Williams, Robin, Jr. 1970. 《美国社会：一种社会学的诠释》第3版。纽约：Knopf出版社。

Williams, Robin, Jr. 1970. American Society: A Sociological Interpretation, 3rd ed. New York: Knopf.

Wilson, Edward O. 1980.社会生物学。删节版。纽约：Belknap Press。

Wilson, Edward O. 1980. Sociobiology. Abridged ed. New York: Belknap Press.

www.worldofcultures.org/1024/index

Chagnon, Napoleon A. 1983. 《亚诺马米：凶猛的民族》（第三版）。纽约：Holt, Rinehart and Winston出版社。本书引人入胜地描述了一种美国人并不熟悉的文化，以及这项人类学研究项目所涉及的研究方法。

Chagnon, Napoleon A. 1983. Yanomamo: The Fierce People, 3rd ed. New York: Holt, Rinehart and Winston. A fascinating account of a culture truly unfamiliar to Americans, as well as of the methods of research involved in this anthropological project.

格雷格·莫滕森和大卫·奥利弗·雷林。2006年。《三杯茶》。纽约：企鹅出版社。一位登山失败者来到阿富汗和巴基斯坦之间的一个偏远村庄，在那里他受到了意想不到的热情接待和照顾。由于这个贫困的村庄没有学校，作者决定筹集资金，开始在这个被遗弃的地区建立学校。与此同时，他描述了一种西方人鲜为人知的文化。

Mortenson, Greg and David Oliver Relin. 2006. Three Cups of Tea. New York: Penguin. A failed mountain climber finds himself in a remote village between Afghanistan and Pakistan where he is received and cared for with unexpected hospitality. As there are no schools in this poor village, the author decides to seek funds and begins to establish schools in this forsaken region. In the meantime, he describes a culture few Westerners are familiar with.

互联网上可以找到大量涉及美国文化的网站：

A large number of Web sites dealing with American culture may be found on the Internet:

在互联网上谷歌搜索“世界文化”。

Google “Cultures of the World” on the Internet.

www.everyculture.com/wc/

www.atozworldculture.com

www.goodreads.com/worldcultures

Groups: From Two to Millions

群组：从两人到百万人

在本章中，你将学习

IN THIS CHAPTER, YOU WILL LEARN

• 人类是群居动物，只有成为群体成员才能生存并成为真正的人；

• that humans are group animals who survive and become true human beings as a result of being members of groups;

• 在每个群体中，个体被赋予地位并履行角色，这使得每个群体成为一个社会系统；

• that within each group, individuals are assigned statuses and carry out roles, a condition that makes each group a social system;

• 社会系统具有结构，这使得生活具有可预测的模式；

• that a social system has structure, which gives life a pattern of predictability;

• 在众多群体中，主要群体是对个人最重要的群体；

• that of the multitude of groups, primary groups are those most important to the individual;

• 人类所属的最大群体是社会；

• that the largest group to which people belong is society;

• 目前，社会趋势已从过去的小型传统社会（Gemeinschafts）转向当今的大型协会社会（Gesellschafts）；

• that there has been a trend away from the small, traditional societies of the past (Gemeinschafts) to the large associational societies of the present (Gesellschafts);

所有社会群体中发生的互动都 基于合作、竞争、交流和冲突的过程；

• that the interaction that occurs within all social groups is based on the processes of cooperation, competition, exchange, and conflict; and

• 在大型复杂社会中管理生活的方式是通过建立依靠官僚机构运作的正式组织。

• that the way to manage life in large, complex societies is through the establishment of formal organizations that depend on bureaucracy to function.

“你“团结则存，分裂则亡”、“团结就是力量”、“合众为一”等名言试图阐明一个古老的真理，而这个真理由于被反复提及而变得陈词滥调：人是社会性动物。作为社会性动物，人类并非孤立地生活。从出生那一刻起，作为脆弱无助的生物，人类就依赖于他人，起初是为了生存，后来是为了保护、陪伴、关爱、繁衍和经济生存——简而言之，是为了一切。

“United we stand, divided we fall,” “In unity there is strength,” “E pluribus, unum.” All these sayings attempt to bring home an ancient truth that has become a cliché by virtue of so much repetition: people are social animals. Being a social animal means that humans do not live in isolation. From the moment of birth as fragile, helpless creatures, humans depend on others, at first for sheer survival and later for protection, companionship, affection, reproduction, and economic survival—in short, for everything.

群居生活不仅是人类的必需品，也是在艰难的生存中的优势。在家庭群体中生存比独自生活要容易得多：新生的幼崽有食物和保护，而且当两三个成年个体共同努力为群体提供食物而不是每个个体单独行动时，所有个体的饮食都会更好。在群体环境中，保护自己的家园或财产（或领地免受掠食者的侵害）也更容易。

A group way of life is not only a necessity for humans but also an advantage in the difficult task of survival. It is much easier to exist in a family group than alone: the newest born is fed and protected, and all eat better when two or three adults work to provide for the group instead of each individual working alone. It is also easier to defend one’s home or belongings (or territory from predators) in a group setting.

尽管群居生活有诸多优势，但也容易导致混乱和无序，因为每当人们彼此靠近时，就存在着冲突的可能性。每个人的性情、喜好、目标和愿望都各不相同。当近距离生活的群体数量众多时，共存问题就会成倍增加。因此，群体生活方式需要发展某种组织或系统，以确保相对顺畅的共存。个体必须了解对他们的期望，以及反过来，他们也能对他人抱有何种期望。他们必须就自己对群体的义务和责任以及群体成员对他们的义务达成一致。他们必须了解对群体成员行为的期望，以及自己应该如何对待这些成员。他们必须确保任何社交接触都不会完全出乎群体成员的意料，相反，这种接触在很大程度上是可以预见的。否则，群体就无法充分发挥作用。

Despite all its advantages, a group way of life lends itself to disorder and chaos because whenever people live in close proximity to one another, there is a potential for conflict. Individuals differ in temperament, in likes and dislikes, in goals and desires. When the groups that live in close quarters are many, the problems of coexistence multiply. Therefore, a group way of life requires the development of some sort of organization, or system, to ensure a fairly smooth coexistence. Individuals must know what is expected of them and, in turn, what they can expect of others. They must agree on their duties and responsibilities to the group, and what the group members owe them. They must know what to expect from the behavior of group members, and how they themselves should behave toward them. They must ensure that no social encounter is a complete surprise in terms of what members of the group say and do, but on the contrary, that the encounter be predictable to a great extent. Otherwise, groups cannot function adequately.

事实上，组织系统确实在群体内部发展，尽管我们并未意识到这一点。它源于个体之间、群体之间以及群体与群体之间反复的互动。该系统的结构化源于人们根据其在群体中所处的地位以及这些地位所赋予他们的角色而采取的行为。反过来，互动又在特定的社会过程框架内进行，稍后将对此进行阐述。简而言之，社会生活被组织成一个具有自身明确结构的系统。

An organizational system does, in fact, develop within groups, though we are not consciously aware of it. It emerges thanks to the repeated interaction of individuals with other individuals, and of groups with other groups. The system is structured because people behave according to the statuses they hold in each group and to the roles those statuses oblige them to play. Interaction, in turn, takes place in the framework of specific social processes, described later. Social life, in short, is organized into a system with its own definite structure.

系统的存在并不能保证和谐，但它确实保证了一定程度的可预测性。这使得我们的群体生活方式更加轻松。

The presence of a system does not guarantee harmony, but it does guarantee a certain amount of predictability. This makes our group way of life much easier.

社会系统是如何组织和构建的？

How is the Social System Organized and Structured?

社会科学家分析群体生活时，会从两个层面进行分析：人际关系或微观社会层面，以及群体或宏观社会层面。在微观社会层面，他们关注个体之间基于彼此关系而建立的关系：丈夫与妻子、父亲与女儿、老师与学生、雇主与雇员等等。在宏观社会层面，他们考察构成最大群体——社会——的群体之间的关系，并关注人们在社会生活中形成的价值观和行为规则。当然，从这种互动中产生的社会系统是一种抽象概念，是一种阐释社会关系如何运作的模型。重要的是要记住，每个群体，无论它只有两个人还是数百万人，本质上都是一个社会系统。正如系统的特征一样，每个部分都相互联系、相互依赖。因此，群体中每个个体的行为方式都会影响群体中的其他个体。这种相互联系和相互依赖最终会形成成员之间共同的行为模式，并最终形成成员之间相互期待的行为模式。

Social scientists who analyze group life do so at two levels: the interpersonal or microsocial level and the group or macrosocial level. On the microsocial level, they focus on the way individuals relate to one another based on the position that each holds in relation to the other: husband to wife, father to daughter, teacher to student, employer to employee, and so forth. On the macrosocial level, they examine relationships between and among groups that make up the largest group, society, and focus on the values and rules for behavior that emerge when people live in a society. The social system that emerges from such interactions is, of course, an abstraction, a model that illustrates how social relationships work. It is important to remember that every group, whether it consists of only two people or many millions of people, is basically a social system. As is characteristic of systems, each part is connected to, and dependent on, every other part. It follows that the way each individual in a group behaves influences every other individual in the group. This interconnectedness and interdependence eventually result in shared patterns of behavior that members come to expect of each other.

社会系统中出现的有序且相当可预测的互动模式构成了该社会系统的结构。社会结构，也称为社会组织，是社会系统各组成部分之间有组织关系网络的基础。它是个人和群体互动的模式化和重复性方式。

The orderly and fairly predictable patterns of interaction that emerge in a social system give that social system structure. Social structure, also referred to as social organization, is the foundation underlying the network of organized relationships among the component parts of a social system. It is the patterned and recurring way in which individuals and groups interact.

社会结构不应被视为一套固定的规则。相反，它是一个动态的过程，在这个过程中，稳定且可预测的模式不断地被重新定义和修改，以适应各种情况不断变化的条件。乐队成员就是一个展现出具有结构和组织的社会系统的群体的例子。这些成员每周一至周四下午1点至3点开会，目的是排练他们将在周四至周六晚上在市中心音乐厅演出的节目。乐手们在那里是为了一个特定的目标，为了实现这个目标，他们的行为遵循着规律且可预测的模式。大多数人带着乐器进来；他们坐在指定的座位上；他们调好乐器；当主奏乐手出现时，他们停止聊天；当主奏乐手发出指令时，他们就开始演奏。一个信号。这个社会体系中的每个成员都知道该做什么，并且每个人都期望其他成员知道该做什么并照做。只要他们这样做，乐队的社会体系就能稳定持久，团体就能正常运转。如果一个或多个成员开始经常排练迟到，或者一些成员没有带乐器；如果他们在应该演奏的时候继续说话；如果他们质疑领队指挥他们如何演奏某个乐段的权利；如果他们拿出三明治，在演奏到一半时开始吃东西——如果这些事情频繁发生，这个体系的组织将不可避免地被破坏，团体最终将不得不解散，因为它不再能作为一个具有特定目标的团体运作。正如你所知，许多乐队实际上已经解散，不复存在，或者已经与其他成员重组，因为原来的体系已经无法运作。

Social structure should not be viewed as a fixed set of rules. Rather, it is a dynamic process in which stable and predictable patterns are continually redefined and altered to fit the changing conditions of each situation. The members of a musical band are an example of a group that exhibits a social system with a structure and organization. These members meet every afternoon, Monday through Thursday, from 1:00 to 3:00, for the purpose of rehearsing a program they will perform Thursday through Saturday nights at a downtown hall. The musicians are there for a specific goal, and to achieve that goal they behave according to regular and predictable patterns. Most come in carrying their instruments; they take their assigned seats; they tune their instruments; they stop chatting when their lead musician appears; they begin to play when he or she gives them a signal. Each member of this social system knows what to do, and each expects the other members to know what to do and to do it. As long as they do this, the social system of the band is stable and enduring, and the group can function. If one or more members begins to be consistently late for rehearsals, or some members fail to bring their instruments; if they continue to talk when they should be playing; if they question the leader’s right to tell them how to play a passage; if they take out sandwiches and begin eating in the middle of a number—if any of these things should happen with any frequency, the organization of this system will inevitably be destroyed, and the group will eventually have to disband because it can no longer function as a group with a specific purpose. As you know, many bands have in fact broken up and ceased to exist or have been reconstituted with other members because the original system had become unworkable.

社会结构要素：地位和角色

Elements of Social Structure: Statuses and Roles

在上面的例子中，社会结构变得无效，因为一些成员没有遵守规范，没有根据他们的身份行事，也没有在排演情境中扮演他们预期的角色。最简单的定义是，规范是行为规则，身份是在社会群体中的位置，而角色是身份的体现。人们拥有诸如家庭群体中的母亲、职业群体中的教师或工作群体中的水管工之类的身份。这种身份的动态方面，或者母亲、教师和水管工所做的事情，就是角色。戏剧术语“角色”非常贴切。打个比方说，社会会给每个人一个剧本。个人——社会成员——就像演员，终其一生扮演着指定的角色。我们实际上并没有拿到剧本，但我们生来就具有一些身份，并且由于我们的所作所为或未能做到的事情而获得其他身份。身份是有等级的；它们根据群体的主流价值观进行价值评估。在美国社会中，教师的地位比水管工高，而两者的地位都低于著名的音乐家、演员、足球运动员或华尔街金融家。

In the above example, the social structure became ineffective because some members failed to follow the norms, did not behave according to their statuses, and did not perform their expected roles in the situation of the rehearsal. In their simplest definition, norms are rules for behavior, status is a position in a social group, and role is the carrying out of the status. People have such statuses as mother in a family group, teacher in an occupational group, or plumber in a work group. The dynamic aspect of that status, or what the mother, the teacher, and the plumber do, is the role. The theatrical term role is very appropriate. Each individual is handed a script—figuratively speaking—by society. Individuals—members of society—are like actors who perform the assigned roles throughout their lives. We are not really handed a script, but we are born with some statuses, and we acquire others because of what we do or fail to do. Statuses are ranked; they are value-rated according to the prevailing values of the group. In American society, the teacher has a higher status than the plumber, and both have a lower status than a famous musician, actor, football player, or Wall Street financier.

拥有特定地位的人，其行为举止都应与其地位相符。我们不会指望水管工给我们讲授中世纪英国文学，也不会指望老师帮我们修好漏水的水龙头。（当然，老师或许真的会修水龙头，就像水管工或许是文学专家一样。）

A person who occupies a specific status is expected to behave in a way befitting that status. We do not expect the plumber to give us a lecture on the English literature of the Middle Ages, nor do we expect the teacher to fix our leaky faucet. (Of course, the teacher may in fact be able to fix faucets, just as the plumber may be an expert in literature.)

地位和角色源于每个群体高效完成任务的需求。在一个社会中，为了正常运转，每天都必须完成许多功能。食物必须种植或生产并供应给消费者，住房必须建造，病人必须得到医治，儿童必须得到抚养和教育，等等。随着时间的推移和经验的积累，我们清楚地认识到，将任务分配给专门负责执行任务的个人，效率会大大提高。这种任务分配就是我们所说的劳动分工，它是大多数（但并非全部）地位的起源（有些地位是根据性别或年龄分配的）。

Statuses and roles evolve from the need of each group to perform its tasks efficiently. In a society, a great many functions must be performed each day if the society is to operate well. Food must be grown or produced and made available for consumption, shelter must be built, the sick must be healed, children must be raised and educated, and so on. In time and through experience, it has become clear that efficiency is much improved when tasks are allocated to particular individuals who specialize in performing them. Such an allocation of tasks is what we call division of labor, which is the origin of most, though not all, statuses (some statuses are allocated on the basis of gender or age).

地位及其衍生的角色并非一成不变，而是不断变化、发展和更替。每个群体内部的变化、社会的变迁以及日常互动，都在不断重新定义地位和角色。更多有关地位和角色的讨论、案例以及课堂讲稿，或许能帮助你理解这些社会学概念，只需在谷歌上搜索相关术语即可。

Statuses and the roles that grow from them are not static. They are continually subject to change, growth, and replacement. Change within each group and change in society, as well as daily interaction, constantly redefine statuses and roles. Additional discussions and examples of statuses and roles, as well as lecture notes that may help to illuminate some of these sociological concepts, are found by googling the terms.

状态：归属和实现

Statuses: Ascribed and Achieved

有些地位及其角色在我们与生俱来，我们无法避免。一个孩子出生时，要么是男性，要么是女性；要么是白人、非洲裔、亚裔、西班牙裔，或是这几种血统的混合；他的父母要么来自工人阶级、中产阶级、上层阶级——或者处于社会阶层连续体的某个阶层——他们可能宣称效忠于某个特定的族群和/或宗教。新生儿的这些地位是被赋予的；它们并非通过任何个人的努力、功绩或过错而获得的。被赋予的地位是非自愿的，基于性别、年龄、种族、族裔背景以及家庭的社会地位和宗教信仰。

Some statuses and their roles are ours at birth: we cannot avoid having them. A child is born either male or female; it is either white, African, Asian, Hispanic, or a mixture of these; its parents are either working class, middle class, or upper class—or somewhere along the social class continuum—and they may claim allegiance to a given ethnic group and/or religion. These statuses of the newborn child are ascribed to it; they are not attained through any individual effort or merit or fault. Ascribed statuses are involuntary, being based on gender, age, race, ethnic background, and the social position and religious affiliation of one’s family.

然而，其他大多数地位的获得，要么是个人通过自身的努力和选择，要么是缺乏努力、漠不关心或选择不当。我们成为大学毕业生、妻子或银行经理，是因为我们渴望并为此付出了努力；我们失业或最终锒铛入狱，是因为我们未能掌握一门技能或做出了不明智的决定。

Most other statuses, however, are achieved by individuals through their own effort and choice, or conversely, through lack of effort, apathy, or poor choices. We become college graduates, wives, or bank managers because we want to, and we put some effort into it, or we remain unemployed or end up in prison because we failed to obtain a skill or made unwise decisions.

在前工业化社会中，先天地位比后天地位更为普遍。在封建时代的欧洲，社会被划分为等级——一种永久而僵化的社会阶层——从一个等级流动到另一个等级几乎不可能实现。在印度，直到近代，人们仍然根据职业被划分为不同的种姓。在这样的社会中，个人选择的空间很小。即使凭借能力、才华或勤奋，个人也无法超越其父母的职业和社会阶层（然而，印度正在快速发展成为一个工业化社会，其阶层体系也变得更加灵活）。另一方面，在工业化社会中，人们崇尚个人主义和个人成就。选择自由受到人们的严密保护，个人的成就受到热烈赞扬。因此，后天地位受到重视，尽管来自几代享有崇高地位的家族所获得的先天地位也同样受到高度重视。

In preindustrial societies, ascribed status is more prevalent than achieved status. In feudal Europe, society was divided into estates—a kind of permanent and rigid social class—and mobility from one estate into another was almost impossible to achieve. In India, too, until recent times, people were divided into castes based on occupation. In such societies, the scope of individual choice is small. Even with ability, talent, or hard work, individuals cannot rise above the occupation and social class of their parents (however, India is fast becoming an industrial society and its stratification system is becoming much more flexible). In industrial societies, on the other hand, there is a commitment to individualism and personal achievement. Freedom of choice is jealously defended, and the accomplishments of the individual are ardently applauded. As a result, achieved status is valued, although the ascribed status that comes from belonging to a family that has enjoyed a high status for a few generations is also highly valued.

图 4.1社会及其文化并非以相同的速度变化。例如，印度在很大程度上仍处于前工业化和农业社会。在这样的社会中，地位大多是被赋予的，也就是说，人们生来就具有特定的地位，就像这些女性一样。自印度开始工业化经济以来，女性的地位发生了巨大的变化。

IMAGE 4.1 Societies and their cultures do not change at the same pace. India, for instance, is still largely preindustrial and agricultural. Statuses in such a society are mostly ascribed, that is, people are born into a particular status, such as these women. The status of women in India has undergone a dramatic change since that country began to industrialize its economy.

iStock：© Bartosz Hadyniak

iStock: © Bartosz Hadyniak

在大多数后工业社会，尤其是在美国，过去几十年来，由于人们对自身既定地位以及随之而来被迫扮演的角色感到不满，社会经历了诸多动荡。女性、同性恋以及少数族裔一直在努力改变他们因既定地位而遭受的某些歧视性做法。尽管他们角色中存在的一些问题尚未完全消除，但在这方面已经取得了进展。请访问www.anthro.palomar.edu/status/stat_2.htm查看一些关于地位和角色的描述。

In most postindustrial societies, and especially in the United States, the past several decades have seen much upheaval as a result of people’s dissatisfaction with their ascribed statuses and the consequent roles they have been forced to fulfill. Women, gays, and racial and ethnic minorities have fought to change certain discriminatory practices to which they were subjected as a result of their ascribed statuses. Although the problematic aspects of their roles have not been eliminated entirely, progress has been made in that direction. Take a look at some of the descriptions of status and role at: www.anthro.palomar.edu/status/stat_2.htm.

地位和角色的多样性

The Multiplicity of Statuses and Roles

现在想必已经相当明显，每个人一生中都拥有多种身份，扮演着多种角色。热狗公司的首席执行官最为人熟知的身份是公司总裁，这后来成为了他的主人身份。但他同时还拥有儿子、丈夫、父亲、兄弟、律师、州立大学董事、乡村俱乐部成员、长老会长老以及共和党筹款人等身份。有时，他还会扮演病人（就诊时）、客户（拜访股票经纪人时）、顾客（购物时）和司机（开车时）等身份。

As must be quite obvious by now, each person has many statuses and performs many roles in a lifetime. The CEO of Hot Dogs, Incorporated, is best known by his status of corporation president, which becomes his master status, but he also has the added statuses of son, husband, father, brother, lawyer, regent of the state university, member of a country club, elder in the Presbyterian church, and fund-raiser for the Republican Party. On an occasional basis, he also occupies the statuses of patient (when he sees his doctor), client (when he visits his stockbroker), customer (when he goes shopping), and driver (when he drives his car).

并非所有这些地位都同等重要。地位的重要性取决于对其进行排序的群体的价值观。在宏观社会层面上，所描述的个体因其公司总裁的职位而被评为拥有较高地位。然而，在微观社会层面上，他可能被他的妻子和孩子评为低级，因为他对他们不感兴趣。他的地位可能与教会中的其他长老相同，尽管共和党的志愿者可能认为他是个暴发户。

Not all these statuses are equally important. The importance of the statuses is determined by the values of the group that is involved in ranking them. On a macrosocial level, the individual described would be ranked as having a high status because of his position as a corporation president. On a microsocial level, however, he may be ranked low by his wife and children, in whom he takes little interest. His status may be ranked equal with that of the other elders in the church, though the volunteers in the Republican Party may consider him an upstart.

显然，如果存在多种身份，那么人们必须扮演的角色数量也就同样多。没有人能很好地扮演所有角色。本例中的公司总裁必须擅长扮演他的主人角色，否则他不会在这个位置上待很长时间。然而，正如前文所述，他在丈夫和父亲的角色上可能有很多不足之处。通常，人们会选择他们认为最重要的角色，并尽力扮演好这些角色。一个人的自我形象与他或她选择扮演的最佳角色之间存在关联。本例中的首席执行官可能认为自己是一位伟大的美国商业领袖，因此很好地履行了首席执行官的职责；而他可能觉得自己是迫于怀孕女友及其家人的压力而结婚，因此无法很好地扮演丈夫和父亲的角色。

Clearly, if there is a multiplicity of statuses, there is an equally large number of roles that people must perform. No one performs all roles well. The corporation president in this example must be good at performing his master role, or he would not remain in his position for very long. As was noted, however, he may leave much to be desired in his roles of husband and father. Generally, people select the roles they consider most important and perform these roles best. There is a relationship between a person’s self-image and the role he or she chooses to perform best. The chief executive in the example may see himself as a great American business leader and consequently performs his role of CEO well, whereas he may feel that he was forced to marry because of pressure from his pregnant girlfriend and her family, and so performs the role of husband and father badly.

现实角色和理想角色

Real and Ideal Roles

团体经常训练成员去扮演他们从未有机会扮演的角色，或者教给年轻人一些理想的行为模式，但这些模式很少或从未真正遵循过。在主日学校，孩子们学习爱邻舍、以德报怨，但他们的足球教练却告诉他们要“杀死”对方球队，为之前的失败复仇。这种相互矛盾的教导并不一定构成虚伪。理想的行为模式发挥着必要的作用，它可以阻止现实模式的堕落，避免其堕落到令人不快的低谷。

Groups frequently prepare their members to fill roles they then never have the opportunity to fill, or they teach their young ideal patterns of behavior that are seldom or never really followed. In Sunday school, children learn that people should love their neighbor and turn the other cheek, but their football coach tells them to “murder” the opposing team and take revenge for a previous loss. Such contradictory teachings do not necessarily constitute hypocrisy. Ideal patterns of behavior serve a necessary function by acting as a brake on real patterns that may decline to an undesirably low level.

角色冲突、紧张和困惑

Conflict, Strain, and Confusion in Roles

然而，当现实与理想相差甚远时，困惑就会随之而来。年轻人在接触“现实”世界时会感到幻灭；他们觉得背叛。在某些情况下，这种差异可能会带来积极的结果，因为个人决心使现实与理想更加一致，并努力实现社会目标；在其他情况下，这种差异也会导致压力和紧张。

When the real differs substantially from the ideal, however, confusion follows. Young people are disillusioned when they come in contact with the “real” world; they feel betrayed. In some instances, the disparity may have positive results, as individuals resolve to bring the real more in line with the ideal and work to reach a social goal; in other instances, stresses and strains result from the discrepancy.

快速的社会变革导致未来生活方式难以预测，人们根本无法提前做好准备。在工业社会中，许多工作都是在家庭之外完成的，孩子们在成长过程中并不知道父母“去工作”时究竟在做什么。因此，有些角色是完全没有学习过的，或者在童年时期没有正确掌握，需要随着时间推移逐渐习得。同样，这些问题在前工业化或新兴社会中并不常见，但在后工业化、技术化的社会中却非常普遍。

Rapid social change contributes to a situation in which future lifestyles are unpredictable, and it is impossible to prepare for them. In industrial societies, many tasks are performed outside the home, and children grow up without knowing exactly what their parents do when they “go to work.” Some roles, then, are not learned at all, or are learned improperly in childhood, and have to be picked up as one goes along. Again, these problems do not arise in preindustrial or emerging societies, but in postindustrial, technological societies they are very common.

压力。出色地履行职责往往会带来压力：主管必须严守纪律，确保团队达成目标。在此过程中，主管可能不得不严厉，甚至不友善，或者对员工施加过大的压力，最终招致下属的反感。另一种选择是做一个“好人”，以牺牲团队目标的达成为代价赢得下属的喜爱。领导者必须时刻根据领导角色来权衡自身行为。

Strain. Often, playing one’s role well produces strain: a supervisor must uphold discipline to ensure that a work group reaches its goals. In the process the supervisor may have to be severe, even unfriendly, or drive workers too hard, and so become disliked by the subordinates. The alternative is to be a “good guy” and be well liked at the expense of attaining group goals. A leader must constantly weigh his or her behavior in terms of the role of leading.

当社会制度变迁导致根深蒂固的地位发生改变时，角色紧张也可能发生。传统上，女性扮演着妻子、母亲和家庭主妇的角色，这些角色被认为不需要太多智力或天赋，因此她们的社会地位较低。另一方面，男性则扮演着“养家糊口”的角色，虽然他们的排名取决于其特定工作带来的声望和经济回报，但通常被认为需要更强大的能力。结果，社会上所有拥有真正权力的职位都由男性占据。随着女性受教育程度的提高，她们开始在劳动力市场上与男性竞争。反过来，随着她们经济独立，她们在家庭中的角色也得到了加强。许多男性无法适应角色的转变，婚姻伴侣之间的冲突常常导致离婚。离婚的女性被迫为了生存而竞争工作，她们自己以及失败婚姻中的孩子（愤怒的父亲经常会推卸对孩子的经济责任）。社会变革导致地位和角色随之发生变化，这导致家庭制度乃至整个社会都需要进行调整。正如媒体和政客不断提醒我们的那样，家庭制度几十年来一直处于危机之中。最终，人们会学会适应新的角色，或根据新情况调整旧的角色，但过渡期对个人和社会而言都非常艰难。

Role strain can also occur when entrenched statuses become altered as a result of changes in the social system. Women traditionally occupied the statuses of wives, mothers, and homemakers, which were considered undemanding tasks requiring little intellectual acumen or talent, and they were consequently ranked low in social status. Men, on the other hand, held the statuses of providers, which, although ranked according to the prestige and financial rewards their particular job brought, were generally considered to require superior capabilities. As a result, all the positions of real power in society were held by men. As women achieved more education, they began to compete with men in the labor market. In turn, as they became financially independent, their roles within the family strengthened. Many men were not able to adjust to their changed roles, and conflicts between marital partners frequently led to divorce. Divorced women were forced to compete for jobs as a matter of survival, theirs and the children of the failed marriage (angry fathers frequently shirk their financial responsibilities toward their children). The consequent shift in statuses and roles that follows social change has created a situation that necessitates adjustment both within the family institution and in the society at large. As we are constantly reminded by the media and politicians, the institution of the family has been in a period of crisis for several decades. Eventually, people will learn to adjust to new roles, or adapt old roles to new circumstances, but the transitional period is very difficult for both individuals and the society.

冲突。身兼数职可能会引发冲突。公司总裁的职责要求他花费大量时间处理与公司相关的业务。然而，要想成为称职的配偶和父母，也需要投入足够的时间参与家庭活动，以便保持亲密的互动。每个人都必须选择优先扮演哪个角色，而这个艰难的决定必然会给个人带来冲突，甚至可能导致家庭破裂。

Conflict. Having to fulfill multiple roles can produce conflict. A corporation president’s role demands spending an unusually large proportion of time on business connected with the corporation. To be a good spouse and parent, however, enough time should also be spent in family activities, so that intimate interaction can take place. Each individual must choose which of these roles should take precedence, and the difficult decision is sure to create conflicts for individuals, frequently leading to the breakup of families.

困惑。最后，角色扮演可能会造成困惑，尤其是当处于特定状态的人必须突然放弃原有角色并接受新角色时。例如，一位因强制退休而被迫失业的会计师可能会感到身份认同的丧失，并可能拒绝接受退休人员的角色，尤其是在她的兴趣始终围绕工作，而无法利用闲暇时间的情况下。受过大学教育的女性，尤其是那些即将步入有前途职业的女性，如果意外怀孕迫使她们承担母亲和全职家庭主妇的角色，也可能会感到困惑。

Confusion. Finally, roles may create confusion, particularly when a person in a specific status must suddenly abandon the corresponding role and embrace a new one. An accountant pushed out of employment because of mandatory retirement, for instance, may feel a loss of identity and may refuse to accept the role of retiree, particularly if her interests always revolved around the job, and she cannot fill the hours of leisure. College-educated women, especially those on the threshold of promising careers, may also experience confusion if an unplanned pregnancy pushes them into the roles of mothers and full-time housekeepers.

根据社会评判，未能胜任的角色不仅会给个人带来困惑和压力，还可能导致精神疾病、适应不良或持续沮丧。由于多种原因——有时仅仅是偶然——人们无法胜任他们所准备的角色。在竞争激烈的经济体系中，人们经常在职业和事业上失败。高离婚率表明，许多人未能胜任他们的婚姻角色。然而，显而易见的是，大多数人无法同样出色地扮演所有角色，有时一个人可能在一个角色上失败，而在另一个与之冲突的角色上却取得成功。

Roles that are performed poorly according to societal judgments may cause individuals not only confusion and strain but also mental illness, maladjustment, or a condition of constant frustration. For many reasons—sometimes simply by chance—people fail in the roles for which they have been prepared. In a highly competitive economic system, people frequently fail in their professions and businesses. The high incidence of divorce shows that large numbers of people fail in their marital roles. It is obvious, however, that most people cannot fill all roles equally well, and sometimes a person may fail in one role while succeeding in a conflicting one.

团体

Groups

如上文所述，所有社会互动都基于一个抽象的社会系统，在这个系统中，个体拥有特定的地位，并扮演着与这些地位相关的角色。当然，这些互动发生在群体内部。反过来，群体并非表面看起来的那样。

As noted in the preceding section, all social interactions take place according to an abstract social system in which individuals have specific statuses and play the roles associated with those statuses. The interactions, of course, take place within groups. In turn, groups are not what they seem to be.

“群体”一词通常被理解为同一时间聚集在同一地点的一群人。然而，在学生休息室里苦读备考的15名学生并不一定构成社会学意义上的群体。早班火车上20名通勤者前往曼哈顿也不一定构成一个群体。这些人仅仅只是在同一时间聚集在同一地点，他们只是集合体，而非群体。

The word group is commonly understood to mean a number of people congregated at the same time in the same place. However, 15 students cramming for an exam in a student lounge are not necessarily a group in the sociological sense. Twenty commuters on the morning train into Manhattan are not necessarily a group, either. These people, who are merely in the same place at the same time, are aggregates, not groups.

许多人也有一些共同的特征：比如，他们可能都有一头红发，或者可能出生在七月四日。这些人也不构成一个群体，而是形成一个类别。

Many people also share a certain characteristic: they may have red hair in common, for instance, or may have been born on the Fourth of July. These people also do not make up a group; instead, they form a category.

然而，假设在学生休息室里挤着的15名学生中，有3名自学年开始就一直在那里学习。进一步假设，他们一起上英语课，并且同时吃午饭。由于他们是人，因此也是社会性动物，这些学生在第一次互相打招呼之后，就开始在英语课和自助餐厅坐在一起，并且在走廊里每次相遇都会停下来聊天。那么，在总共15人中，有3人组成了一个小组。同理，如果所有出生于1945年7月4日的美国红发人决定组织一个俱乐部，如果他们定期通信并定期聚会，那么他们也将不再是一个类别，而是一个群体。

Suppose, however, that 3 of the 15 students cramming in the student lounge have been studying there since the beginning of the school year. Suppose, further, that they have an English class together, and they eat lunch at the same time. Because they are human and, therefore, social beings, these students, after the first exchange of greetings, begin to sit together in English class and in the cafeteria and stop to chat every time they pass each other in the hall. Of an aggregate of 15, then, 3 have formed a group. By the same token, if all the redheads in the United States who were born on the Fourth of July of 1945 decided to organize a club, if they corresponded regularly and met periodically, they too would have ceased to be a category and would have become a group.

若干人要组成一个群体，必须满足以下条件：

For a number of people to constitute a group, these conditions must be met:

1. 成员之间应该进行象征性互动。（象征性互动是指通过言语、手势、文字甚至音乐进行交流。成员之间相互感知、相互回应，并以某种方式相互影响。）群体成员期望互动能够无限期地持续下去，但许多群体在短时间内就形成并解散了。例如，请参阅：www.sociology.about.com/od/Sociological-Theory/a/Symbolic-Interaction-Theory.htm。

1. Symbolic interaction among the members should be taking place. (Symbolic interaction is communication by means of speech, gestures, writing, or even music. Members are aware of one another, respond to one another, and behave in such a way that they influence one another.) Group members expect interaction to continue indefinitely, but many groups form and disperse within short periods of time. For examples see: www.sociology.about.com/od/Sociological-Theory/a/Symbolic-Interaction-Theory.htm.

2. 每个成员都应认识到自己是群体的一部分，群体也应承认每个人都是群体的一员。群体成员身份赋予成员一种认同感。

2. There should be recognition by each member that he or she is part of the group and recognition by the group that each person is a member. Group membership gives members a feeling of identity.

3. 成员之间应该就共同的行为规则、价值观和目标达成一定程度的一致或共识。

3. A certain amount of agreement or consensus among the members about the rules of behavior, values, and goals they share should exist.

4. 团体应该有结构；成员应该了解自己的地位、角色、行为规则、职责和义务，以及作为团体成员所享有的权利。

4. The group should have structure; members should be aware of their statuses, roles, rules of behavior, duties, and obligations, as well as the privileges that result from group membership.

图 4.2这些打桥牌的老年人确实构成了一个群体，因为其中存在着象征性的互动。每个人都意识到自己是群体的一员，他们就如何玩桥牌达成了共识，并且每个人都清楚自己的地位、行为规则、职责和义务，以及作为群体一员所享有的特权。

IMAGE 4.2 These seniors playing bridge do make up a group because symbolic interaction is taking place. Each person recognizes that he or she is a member of the group, they agree on how to play, and each is aware of his or her status, of rules of behavior, of their duties and obligations, as well as of the privileges of belonging to the group.

iStock：© 马克·鲍登

iStock: © Mark Bowden

换句话说，群体的构成是一个程度问题；它取决于成员之间的互动程度，他们是否称自己为“我们”；以及群体规范在多大程度上影响他们的行为。

In other words, what constitutes a group is a matter of degree; it depends on how much members interact with one another, whether they refer to themselves as “we;” and to what extent group norms affect their behavior.

群体的数量和多样性令人叹为观止。群体的规模各不相同，从两人到数亿甚至数十亿不等，从一对夫妇到整个社会，不一而足。事实上，一个社会中的群体比个人还要多，因为每个人在任何时候都是多个群体的成员。群体分类的考虑因素包括规模和特殊特征。互联网的出现带来了更多的群体；试试在谷歌上搜索“群体”这个词吧！

Groups are extraordinary in number and diversity. In size, groups may vary from two to several hundred million or even a billion—from a couple to a whole society. In fact, there are more groups in a society than there are individuals because each person is a member of more than one group at any one time. The factors that are considered in classifying groups are size and special characteristics. The creation of the Internet has added even more groups; just try to google the word “groups”!

团体规模

Group Size

最小的群体由两名成员组成，称为二元组。二元组是最基本的社会单位，也非常脆弱：当其中一名成员退出时，该单位作为一个群体就不复存在了（Simmel，1905/1956）。三元组，即由三名成员组成的群体，是一个更稳定的社会单位，因为其中一名成员退出并不会导致群体瓦解。因此，三元组被认为对社会结构更为重要（Caplow，1968）。许多网站探讨了小群体内部的互动，例如在飞机驾驶舱内的互动。

The smallest of groups consists of two members and is called a dyad. The dyad is the most elementary social unit and is a very fragile one: the unit ceases to exist as a group when one of the members withdraws (Simmel, 1905/1956). The triad, or group consisting of three members, is a more stable social unit because one of the members may withdraw without destroying the group. Thus, triads are considered more important to the structure of societies (Caplow, 1968). Interaction within small groups, as for instance in an airplane cockpit, is explored on a number of Web sites.

规模通常对成员有一定影响。每增加一名成员，潜在关系的数量就会增加，新联盟形成的可能性也会随之增加。成员人数的快速增长也可能带来破坏性影响：如果一个团体的人数超过10人或12人，就需要一位领导者来确保每个成员都能为团体做出平等的贡献。新成员的加入往往会受到那些对现状感到满意的原成员的阻碍。

Size in general has a definite impact on members. With each additional member, the number of possible relationships increases and with it the probability of new coalitions forming. Rapid increases in membership may also prove disruptive: if there are more than 10 or 12 persons in a group, a leader becomes necessary to ensure that each member contributes equally to the group. The addition of new members tends to be discouraged by the original members who feel comfortable with the status quo.

小团体——家庭、亲密朋友、大型组织内部的小圈子、为解决问题而成立的委员会——有着共同的特征。成员之间的关系往往是面对面的，成员们通常持有相似的价值观。小团体相当持久，因为成员们认同并忠诚于它。小团体对其成员的行为具有影响力，而且比大团体更容易接受民主领导。

Small groups—families, close friends, a clique within a large organization, a committee formed to solve a problem—share common characteristics. Relations among members tend to be face-to-face, and members generally hold similar values. The small group is quite durable, as members identify with it and are loyal to it. Small groups are influential in the impact they make on the behavior of their members, and they are more accepting of democratic leadership than are large groups.

图 4.3即使是两个人，社会科学家也会将其视为一个群体——二元组。这个群体也是按照某种社会制度组织的，而且由于它由一对年轻的恋人组成，所以它是一个初级群体。

IMAGE 4.3 Even two people are considered a group—a dyad—by social scientists. This group is also organized according to a social system, and because it consists of two young lovers, it is a primary group.

iStock：© Xsandra

iStock: © Xsandra

当然，大型群体则表现出相反的特征。最重要的是，它们往往高度组织化。人们所属的最大群体是社会，但大型群体也包括正式组织（例如公司）及其官僚机构，这些将在本文后面讨论。

Large groups, of course, display the opposite features. Above all, they tend to be highly organized. The largest group to which people belong is society, but large groups also include formal organizations (such as corporations) and their bureaucracies, which are discussed later in the text.

小学组和中学组

Primary and Secondary Groups

群体的一个非常重要的分类是将其分为初级群体和次级群体。 “初级群体”一词由查尔斯·霍顿·库利 (Charles Horton Cooley) 提出，他将成员之间进行亲密互动与合作的群体定义为初级群体，这种互动与合作对于个人人格的发展至关重要 (Cooley, 1909/1910)。初级群体区别于其他群体的其他特征包括：(1) 规模相对较小；(2) 成员之间物理距离较近；(3) 成员之间互动频繁；以及 (4) 群体稳定性高且持续时间较长。家庭是初级群体的典型例子。

A very important classification of groups is that into primary and secondary groups. The term primary group was coined by Charles Horton Cooley, who designated as primary groups those in which members engage in intimate interaction and cooperation of the sort that is basic to the development of an individual’s personality (Cooley, 1909/1910). Additional characteristics that distinguish primary from other groups include (1) relatively small size, (2) physical nearness of members, (3) intense interaction among members, and (4) group stability and relatively long duration. The family is the foremost example of a primary group.

如果将主要群体置于理想连续体（一种概念模型，代表一种假设的理想类型，可用于分析现象时与现实进行比较）的一端，那么另一端则应由次要群体占据。次要群体往往规模较大，人们在其中的互动是正式的、基于角色的、实用的、专业的和临时的。销售人员与顾客之间发生的交易，无论多么友好，都属于次要性质（除非两人恰好也是私人朋友）。当然，许多次要关系最终会发展成为主要关系，例如，当原本只是熟人的人发现自己有共同的爱好时。两个好朋友之间会有一些共同点，并开始定期见面，有时主要关系会变成次要关系，比如两个好朋友吵架了，从那时起，他们见面时就只能冷冰冰地打招呼。

If primary groups were put at one end of an ideal continuum (a conceptual model representing a hypothetical ideal type to which reality may be compared in analyzing phenomena), the opposite end would be occupied by secondary groups. Secondary groups tend to be large, and people’s interaction within them is formal, role-based, utilitarian, specialized, and temporary. The transaction that takes place between a salesperson and a customer, no matter how friendly, is of a secondary nature (unless the two happen also to be personal friends). Of course, many secondary relationships eventually develop into primary ones, as when people who were just acquaintances discover they have a hobby in common and start to see each other on a regular basis, and occasionally a primary relationship slides into a secondary one, as when two good friends quarrel and from then on exchange only icy greetings when they see each other.

初级群体具有普遍性，对个人至关重要。甚至可以说，它们对大多数人的幸福都至关重要。完全脱离初级关系的人很容易精神崩溃。这样的人的精神健康可能会受到严重影响。这就是为什么孤立常常被用作洗脑或折磨的手段。如果在我们通常认为的“自然”初级群体（例如家庭）中缺乏初级关系，人们就会不遗余力地在其他群体中建立这种关系。十几岁的年轻人为了取代破碎或不存在的家庭而频繁组建帮派，就是初级群体必要性的一个例子。即便如此，并非所有初级关系都是和谐的，也不总是令个人满意。它们可能涉及大量冲突或强制一致性，从而扼杀个性。

Primary groups are universal and are of tremendous importance to individuals. It may even be said that they are necessary to the well-being of most people. It is easy to break the spirit of a person who is totally removed from primary relationships. Such a person’s mental health may be severely affected. That is why isolation is often used as a method of brainwashing or torture. If primary relationships are lacking in what we would generally consider a “natural” primary group—the family, for instance—people go out of their way to create such relationships in other groups. The frequency of gangs created by teenaged youths to take the place of a broken or nonexistent family is one example of the need for primary groups. Even so, not all primary relationships are of a harmonious nature, nor are they always satisfying to the individual. They may involve a large amount of conflict or the enforcement of conformity, which stifles individuality.

像美国这样的城市后工业社会，其特征日益凸显为次要关系。许多曾经由主要群体承担的功能，如今都由次要群体承担。过去，病人由家人在家照顾，而不是由医院里的带薪护士和医生照顾。医生和医院工作人员的治愈能力远超家庭成员及其家庭疗法。他们无疑比过去的家庭治愈了更多的人，但他们无法对病人拥有同样的感情，病人也无法对他们拥有同样的感情；因此，许多被困在医院和疗养院的人会感受到疏离感和非人性化。这并不是说主要类型的关系在次要类型的群体中不会蓬勃发展。人们居住在社区中，其中一些社区是基于国籍的（例如唐人街、小意大利、西班牙哈莱姆区、小越南），这一事实早已被公认为是社区的源泉，即使在基本上匿名的城市环境中也是如此。事实上，这类社区被称为“城中村”，这意味着，实际上，人们在其中生活就像在小村庄里一样。此外，即使并非生活在紧密联系的社区中，城市居民也能轻松找到许多志同道合的人，这仅仅是因为城市人口众多且类型多样，提供了广泛的朋友和熟人选择。人们不必成为地域上的邻居；他们成为品味上的邻居（他们因为拥有共同的才能或兴趣而走到一起）。作家E.B.怀特（E.B. White）在一篇经常被引用的关于纽约的描述中指出，许多纽约人一生都生活在比乡村还小的区域内，这样的人即使离开熟悉的角落几个街区也会感到不安（White，1949）。在一些讨论群体的网站上，可以找到对主要群体和次要群体的清晰定义。

Urban postindustrial societies such as the United States have increasingly become characterized by secondary relationships. Many of the functions that at one time were performed by primary groups are now carried out by secondary groups. In the past, the sick were cared for by the family at home rather than by paid nurses and doctors in a hospital. Doctors and the hospital staff are much more capable of healing than members of the family and their home remedies. They undoubtedly help cure many more people than families did in the past, but they cannot have the same feelings for their patients, nor their patients for them; hence, the alienation and impersonality that is experienced by many people confined to hospitals and nursing homes. This is not to say that primary-type relations do not flourish in secondary-type groups. The fact that people live in neighborhoods, some of which are based on national origin (Chinatown, Little Italy, Spanish Harlem, Little Vietnam) has long been acknowledged as a source of community, even in the largely anonymous urban environment. In fact, such neighborhoods have been characterized as “urban villages,” meaning that, for all practical purposes, people live in them as if they were small villages. Moreover, even when they do not live in close-knit communities, urban residents can easily find a number of people with whom they are compatible, simply because a city, with its large number and variety of people, offers a wide choice of friends and acquaintances. People do not need to be neighbors of place; they become neighbors of taste (they come together because they have talents or interests in common). In an often-quoted description of New York, the author E. B. White maintained that many a New Yorker spends a lifetime within the confines of an area smaller than a country village, and that such a person feels ill at ease even a few blocks from his familiar corner (White, 1949). A clear definition of primary and secondary groups may be found at several Web sites that discuss groups.

有关其他解释和更多示例，请参阅：www.slideshare.net/clarence1723/primary-and/secondary-groups。

For another explanation and more examples, see: www.slideshare.net/clarence1723/primary-and/secondary-groups.

群体的附加分类

Additional Classification of Groups

除了规模和主要或次要性质之外，群体还可以根据其他特征进行分类。内群体和外群体基于我们与他们之间的区别，这可能是人类做出的最古老的区别之一，也是我们都能认同的区别，无论我们是属于阿文代尔乡村俱乐部还是紫鲨队。参照群体为我们提供了评估自身地位与他人地位的标准。它们作为比较点，影响着人们的价值观、目标、态度和行为。会员团体是个人所属的正式或非正式组织；例如，基督教女青年会是正式会员团体，而某人的高中朋友则构成非正式会员团体。最后，有些团体是自愿的，有些则是非自愿的。一个人的家庭（无法选择）和一个人在战争期间应征入伍的军种就是非自愿团体的例子。相反，有成千上万个团体，从兄弟会到政党，从粉丝俱乐部到桥牌俱乐部，个人可以完全自愿加入，也可以出于社会或经济方面的考虑加入。这些团体是自愿的。更多社会团体示例，请参阅：www.slideshare.net/wfisch/types-of-social-groups-powerpoint。

In addition to their size and primary or secondary nature, groups are classified according to other features. In-groups and out-groups are based on the distinction between us and them, probably one of the oldest distinctions people have made and one with which we can all identify, whether we belong to the Avondale Country Club or the Purple Sharks. Reference groups provide us with standards we use to evaluate our own status against that of others. They serve as points of comparison and affect people’s values, goals, attitudes, and behavior. Membership groups are either formal or informal organizations to which individuals belong; for instance, the YWCA is a formal membership group, whereas one’s friends from high school constitute an informal membership group. Finally, some groups are of a voluntary and some of an involuntary nature. A person’s family (which cannot be chosen) and a branch of the armed services into which a person is inducted during a war are examples of involuntary groups. Conversely, there are thousands of groups, ranging from fraternities to political parties, from fan clubs to bridge clubs that individuals may join entirely of their own free will or for reasons of social and economic expediency. Such groups are voluntary. For more examples of social groups, see: www.slideshare.net/wfisch/types-of-social-groups-powerpoint.

图 4.4我们最早的祖先生活在狩猎采集社会。此后，世界上大多数地区已经转向其他类型的社会；然而，仍有少数狩猎采集社会存在，例如坦桑尼亚的哈兹达部落。

IMAGE 4.4 Our earliest ancestors existed in hunting and gathering societies. Most of the world has since moved on to other types of societies; however, a small number of hunting and gathering societies still exist, such as this Hazda tribe in Tanzania.

iStock：© alexerich

iStock: © alexerich

社会

Society

社会是由一群居住在特定地域并有着共同生活方式（文化）的最大的群体所组成。社会中的人们通过定期、持续的互动以及他们所形成的或多或少都认同的行为模式而拥有共同的生活方式。社会不同于许多其他大型群体，因为在社会中人们可以过着全面、共同的生活，而在较小的群体中一个人只能过着生活的某个方面。社会并不是一个局限于特定目的的组织，例如美国医学会。相反，它是最自给自足的群体，它的独立性基于为满足其成员的需求而开发的技术。

The largest group of people inhabiting a specific territory and sharing a common way of life (culture) constitutes a society. The people in a society share this common way of life as a result of interacting on a regular, continuous basis and because they have acquired patterns of behavior on which all more or less agree. Society differs from many other large groups because within this group people can live a total, common life, whereas in smaller groups a person lives only one facet of her or his life. Society is not an organization limited to a specific purpose, as is, for example, the American Medical Association. Rather, it is the most self-sufficient group, and its independence is based on the techniques developed for fulfilling the needs of its members.

社会分类

Classification of Societies

纵观历史，社会呈现出多种不同的形态。一种分类方法是根据其主要的生存方式（Lenski，1970/1987，18-142）。另一种分类方法是根据社会组织的基本模式。

Throughout history, societies have assumed a number of different forms. One way of classifying societies is according to their chief mode of subsistence (Lenski, 1970/1987, 18–142). Another type of classification is according to basic patterns of social organization.

按主要生存方式分类

Classification According to Chief Mode of Subsistence

根据社会为其成员提供食物、住所和衣服的方式对其进行分类时，我们发现最常见的类型包括以下几种。

In classifying societies according to the way they provide their members with food, shelter, and clothing, we find that the most commonly occurring types include the following.

狩猎采集社会是最早、技术最简单的社会形态之一。其特点是人口规模小（约40人），游牧，技术简单，分工和专业化程度低，并且特别强调亲属关系的重要性。

The hunting and gathering society is one of the earliest and least technologically complex forms of society. It is characterized by a small (around 40 individuals), nomadic population, uncomplicated technology, little division of labor or specialization, and particular stress on the importance of kinship ties.

在人类出现在地球上的约200万年中，大部分时间里，人们都生活在狩猎采集社会中。狩猎采集者被迫四处游牧：他们必须永远寻找更好的狩猎场和自然生长的水果和植被更丰富的新地区。因此，他们无法积累财物，因为每个人拥有的一切都必须被带到新的食物来源地。在巴西的雨林、菲律宾和中美洲，仍然存在一些小型狩猎采集社会（Headland & Reid, 1989）。更多关于此类社会的信息可以在多个网站上找到。

For most of the approximately 2 million years of human existence on the planet, people have lived in hunting and gathering societies. Hunters and gatherers are nomadic by necessity: they must forever search for better hunting grounds and new areas where naturally occurring fruits and vegetation are more abundant. As a result, they cannot accumulate belongings, as everything each person owns must be carried to the new food source. A few small hunting and gathering societies still exist in the rain forest of Brazil as well as in the Philippines and in Central America (Headland & Reid, 1989). More information about such societies is available at several Web sites.

游牧社会，又称放牧社会，往往在不适合耕种土地但拥有易于驯养并可作为食物来源的动物的地区发展。这种生存策略带来了更稳定的粮食供应和可能的动物过剩。过剩的动物提高了所有人的生活水平，导致人口增加，但也导致了人们根据财产划分等级，从而产生社会阶层、冲突和战争。游牧社会仍然存在，至少是工业化社会或工业化社会的一部分。关于游牧社会的描述可以在互联网上找到。

The pastoral, also called the herding, society has tended to develop in areas ill suited to the cultivation of land but containing animals amenable to domestication and use as food sources. This subsistence strategy leads to a more secure food supply and a possible surplus of animals. A surplus raises the standard of living of all, resulting in larger populations, but it also leads to ranking people according to their possessions, leading to social classes, conflict, and warfare. Pastoral societies still exist, at least as parts of industrial or industrializing societies. Descriptions of pastoral societies may be found on the Internet.

园艺社会出现于人们发现谷物种植方法之时，而农耕社会则随着公元前3000年左右犁的发明而牢固确立。在园艺社会中，人们先用挖掘棒清理小块菜园，逐渐将挖掘棒绑在石头、野牛肩胛骨上，后来又绑在金属物体上，最终发展出锄头。虽然锄头耕作能产生剩余食物，但产量极低，而且土壤会迅速枯竭，迫使人们不断开垦新的菜园。然而，一旦犁的使用普及，就可以耕种大片土地。互联网上也有一些关于园艺社会的有趣描述。

The horticultural society appeared when people discovered how to cultivate grains, and the agrarian society was firmly established with the invention of the plow at around 3000 BC. In the horticultural society, small garden plots are cleared with digging sticks and gradually with sticks tied to stones, bison shoulder blades, and much later to metal objects, eventually resulting in a hoe. Although hoe gardening produces surplus food, the amount is minimal, and the soil becomes depleted very rapidly, forcing people to continually cultivate new gardens. Once the use of the plow becomes established, however, large areas of land can be cultivated. Interesting descriptions of horticultural societies are also available on the Internet.

无论是在园艺社会还是农耕社会，都生产出越来越多的剩余产品，定居生活方式占据主导地位。从园艺向农业的转变带来了一些负面的副作用：人们开始分化，主要分为土地所有者和无地农民，并且官僚机构也应运而生，以监督日益复杂的经济。

In both the horticultural and agrarian societies, ever greater surpluses are produced, and a settled lifestyle predominates. Some of the side effects of the shift from horticulture to agriculture are negative: people become differentiated, principally into landholders and landless peasants, and a bureaucracy develops to oversee an increasingly complex economy.

最后，有些社会由于地处河流和海洋，主要以渔业和航海社会为主。互联网上可以找到一篇关于南美洲大陆渔业和航海社会的历史回顾。要了解人类社会的类型，请访问：www2.fiu.edu/grenierg/chapter4.htm。

Finally, some societies are predominantly fishing and maritime societies because of their location on rivers and seas. A historical review of fishing and maritime societies in the South American continent is found on the Internet. To learn about types of human societies, see: www2.fiu.edu/grenierg/chapter4.htm.

工业协会

Industrial Societies

然而，社会形态最具革命性的变化伴随着工业社会的出现而来。当今世界上大多数社会已经是工业社会，或正在努力实现工业化或后工业化。工业社会的特点是：（1）城市化，即城市以牺牲农村为代价发展；（2）大规模机械化和自动化，即机器取代人力和智力；（3）复杂的科层制，即为提高效率而组织成正式的团体；（4）机构形式的分化，即学校、医院、商店的发展，以及工厂承担以前由家庭承担的职能；（5）非个人化的次要关系取代了主要关系。从农业社会向工业社会的转变伴随着混乱和瓦解。《社会学在线词典》扩展了工业社会的概念。

The most revolutionary change in the form of societies, however, comes with the emergence of the industrial society. Most societies in the world today are already industrial, trying to become industrial, or postindustrial. Industrial societies are characterized by (1) urbanization, or growth of cities at the expense of rural areas; (2) massive mechanization and automation, or the substitution of machines for human labor and intelligence; (3) a complex bureaucracy, or organization into formal groups for greater efficiency; (4) separation of institutional forms, that is, the development of schools, hospitals, stores, and factories to perform functions formerly filled by the family; and (5) the substitution of impersonal, secondary relations for primary relationships. The transition from agrarian to industrial societies has been accompanied by disorganization and disruption. The Dictionary of Sociology online expands on the concept of industrial societies.

一种被称为后工业化的社会形态正在日益兴起。尽管200年前的第一次技术革命带来了蒸汽动力交通和工厂机器生产，但100年前发生的第二次技术革命却传播了电力和化学，使得合成材料和塑料的生产成为可能。第三次技术革命仍在进行中，它将计算机和电信技术结合起来，产生了电视图像、语音电话、数字计算机数据和传真传输（Bell，1987）。这些产品以及更多作为其进一步扩展的产品（手机、智能手机、GPS系统等）正在改变当代社会。社会不再仅仅是地理位置，而是只需按下按钮即可访问的全球网络。后工业社会的权力属于那些能够快速灵活地响应新信息的人；因此，旧的组织结构正在被瓦解，新的组织结构必须建立。这些新的组织结构将在后续章节中更全面地探讨，但值得指出的是，这种转变对社会组织具有破坏性。某些个体的地位必须被永久改变，而新的地位的获得往往需要付出巨大的牺牲。不同经济体系之间的过渡期总是充满冲突和痛苦，正如许多“裁员”、外包和裁员的受害者所证实的那样。学术界学者在线简要探讨了与向后工业社会转型相关的社会结构变化。

Increasingly, a form of society that has been described as postindustrial is emerging. Although the first technological revolution of 200 years ago brought steam-powered transportation and factory machine production, the second technological revolution, which occurred 100 years ago, spread electricity and chemistry, permitting the production of synthetics and plastics. The third technological revolution, which is still underway, has joined computers and telecommunications to produce television imagery, voice telephone, digital computer data, and facsimile transmission (Bell, 1987). These products, and many more that are further expansions of them (cell phones, smartphones, GPS systems, etc.), are changing contemporary societies. Societies have become not simply geographic places but global networks accessible with the push of a button. Power in postindustrial societies belongs to those who have the ability to respond speedily and flexibly to new information; thus, the old organizational structures are in the process of being dismantled, and new ones will have to be instituted. These new organizational structures are more fully explored in later chapters, but it is instructive to point out that such a transformation is disruptive to social organization. The statuses of certain individuals must be permanently altered, and new statuses are often acquired at the cost of great sacrifice. Transitional periods between different economic systems are always conflict producing and painful, as the many victims of “downsizing,” outsourcing, and layoffs can testify. Changes in social structure associated with the transition to a postindustrial society are briefly explored by academic scholars online.

按社会组织分类

Classification According to Social Organization

另一种重要的社会分类和分析方式是根据其基本的社会组织模式。在小型同质社会中，成员以非正式、个人化、面对面的方式互动，其行为受传统支配。这种社会被称为“礼俗社会”（Gemeinschaft），德语粗略翻译为“公共或传统社会”。在规模庞大且异质性强的社会中，例如现代工业社会，成员之间的关系是非个人化的、正式的、功能性的和专业化的。此外，这些关系通常是契约性的（交易以法律合同的形式明确规定，而非口头或传统）。这种社会被称为“社团社会”（ Gesellschaft），即“社团”（Tönnies，1887/1957）。显然，礼俗社会以主要关系为特征，而社团社会则更常表现出次要关系。

Another important classification of societies, and manner of analysis, is according to their basic patterns of social organization. In small, homogeneous societies, members interact with one another on an informal, personal, face-to-face basis, and behavior is dictated by tradition. This kind of society is called a Gemeinschaft, which is roughly translated from German as a “communal or traditional society.” In societies that are large and heterogeneous, such as modern industrial societies, relationships among members are impersonal, formal, functional, and specialized. Furthermore, they are often contractual (dealings are spelled out in legal contracts rather than by word of mouth or tradition). This society is called a Gesellschaft, or “associational society” (Tönnies, 1887/1957). It is obvious that Gemeinschafts are characterized by primary relationships, whereas Gesellschafts more commonly display secondary relationships.

在现代世界中，从礼俗社会（Gemeinschaft）到法理社会（Gesellschaft）的转变显而易见。庞大的社会规模和技术经济的复杂性需要二级群体，这些群体专注于效率而非情感。关于这些术语的更详尽的讨论可以在互联网上找到；例如，参见：www.blog.marksweep.com/post/37842167071.gemeinschaft-and-gesellschaft-in-social-networks。

In the modern world, there has been an easily observable shift from Gemeinschaft to Gesellschaft societies. The large size of societies and the complexities of a technological economy require secondary groups, which are dedicated to efficiency rather than sentiment. A much more expanded discussion of these terms may be found on the Internet; for instance, see: www.blog.marksweep.com/post/37842167071.gemeinschaft-and-gesellschaft-in-social-networks.

互动与社会过程

Interaction and Social Processes

社会及其内部存在的各种群体并非静态的实体。它们处于不断的变化之中，经历着变化和调整。群体成员之间以及众多群体之间的互动持续不断。互动指象征性的行为或动作；即有意义的言语和手势。它也是一种面向他人的行为，即每个人都意识到他人可能的反应；也是一种互惠的行为，即每个人都意识到并回应他人的行为和反应。

Societies, and the various kinds of groups that exist within them, are not static entities. They are in constant flux, undergoing change and modification. Interaction among the members of a group and among the many groups is continually taking place. Interaction refers to behavior or action that is symbolic; that is, words and gestures that have meaning. It is also behavior that is directed toward others, in the sense that each person is aware of how others will probably respond, and is reciprocal, in the sense that each person is conscious of and responsive to the actions and reactions of others.

虽然互动不受僵化规则的约束，但也并非随意而为。互动行为的重复次数足够多，以至于它形成了一种模式，能够在类似情况下预测未来的行为。遵循他人早已确立的行为模式，是简化我们生活的一种方式。

Although interaction is not governed by rigid rules, it is not haphazard, either. Interactive behavior is repeated sufficiently often that it creates a pattern capable of predicting future behavior when similar situations arise. Following behavioral patterns established by others long ago is a way of simplifying our lives.

每当互动发生时，都会存在一些关键的互动模式。它们被称为“社会纽带的微观元素，或社会的分子粘合剂”（Nisbet，1970，第50页）。这些互动模式就是社会过程。

A number of key patterns of interaction are present and at work whenever interaction takes place. They have been called the “microelements of the social bond, or the molecular cement of society” (Nisbet, 1970, p. 50). These patterns of interaction are the social processes.

社会互动，无论发生在初级群体还是次级群体层面，都涉及诸多社会过程。我们关注四个主要的社会过程：交换、合作、竞争和冲突。所有其他过程，包括顺应、同化和强制，实际上都是这些主要过程的组合或衍生。

Social interaction, whether it occurs on a primary or a secondary group level, involves a great many social processes. We focus on four primary social processes: exchange, cooperation, competition, and conflict. All other processes, which include accommodation, assimilation, and coercion, are really combinations of, or derivations from, the primary processes.

交换是两个个人、群体或社会中的一方为另一方做一些事情，期望获得等值回报的交易。如果你为缺席的同学做笔记，你期望他或她在你缺席时也为你做好笔记。当医生治好你的皮肤感染时，你应该付账。当你受雇于一家公司时，你应该获得薪水作为劳动的交换。简而言之，交换是各种规模群体中普遍存在的过程，它通常出现在互惠规范的背景下，这要求你为别人为你做的事情做些回报。当社会交换公平平等时，群体的社会结构往往稳固，但当交换被认为是片面的，最终社会结构会受到影响，导致相关群体的瓦解。

Exchange is a transaction in which one of two individuals—or groups, or societies—does something for the other with the expectation of receiving something of equal value in return. If you take notes for an absent fellow student, you expect him or her to take good notes for you when you are absent. When the doctor clears up your skin infection, you are expected to pay the bill. When you are hired to work for a corporation, it is expected that you will receive a salary in exchange for your labor. In short, exchange is a pervasive process in groups of all sizes, and it is generally found in the context of the norm of reciprocity, which requires that you do something in return for what someone has done for you. When social exchanges are fair and equal, the social structure of the group tends to be solid, but when exchanges are perceived as one-sided, eventually the social structure suffers, leading to a disintegration of the group involved.

合作是一种主要的社会过程，涉及两个或两个以上的人或团体为了共同的目标而共同努力。合作通常被认为是最基本的社会过程，因为没有合作，生活将会变得艰难，甚至不可能。

Cooperation is a primary social process involving two or more persons or groups working jointly in a common enterprise for a shared goal. It is often considered the most basic of the social processes because without it, life would be difficult, if not impossible.

竞争是一种互动形式，发生在两个或两个以上的个体试图占有同一稀缺资源时，无论该资源是有形的，例如珍贵的宝石，还是无形的，例如某人的爱。竞争是一个基本过程，因为大多数生物体必须争夺生存所必需的有限资源；例如，植物争夺阳光、水和养分。动物，包括人类，则争夺食物、住所和性满足。然而，动植物的竞争仅限于生存必需品，而人类也会争夺那些它们已经习以为常但并非生存必需品的东西。

Competition is a form of interaction that occurs when two or more individuals try to take possession of the same scarce object, whether it be tangible, such as a precious gem, or intangible, such as someone’s love. Competition is a basic process because most living organisms must compete for limited resources necessary to their survival; plants, for instance, compete for sunlight, water, and nutrients. Animals, including humans, compete for food, shelter, and sexual gratification. But whereas plants and animals limit their competitiveness to things needed for survival, people also compete for things that they have learned to need but that are not necessary for survival.

冲突与合作截然相反；它是两个或两个以上的人或群体之间为了各自珍视的事物或价值而进行的敌对斗争。冲突也是对立双方为了实现特定目标而试图伤害、损害或摧毁对方的过程。与合作和竞争一样，冲突也存在于生活的方方面面。人们曾一度认为冲突是人类的普遍特征，但冲突被控制在最低限度的社会的发现，在很大程度上推翻了这一观点。互联网上讨论了以计算机中介通信系统为形式的社会过程和社会互动的案例和进一步讨论。

Conflict is diametrically opposed to cooperation; it is a hostile struggle between two or more persons or groups for an object or value that each prizes. Conflict is also the process in which opposing parties attempt to injure, harm, or destroy one another to achieve a specific goal. Like cooperation and competition, conflict is also present in most facets of life. It was believed at one time that conflict was a universal characteristic of humans, but the discovery of societies in which conflict is kept at an absolute minimum largely disproved this belief. Examples and further discussions of social processes and social interaction in the form of computer-mediated communication systems are discussed on the Internet.

需要明确的是，尽管这四个最重要的社会过程被分别讨论，但实际上它们并非如此截然相反，而且它们经常发生在相同的互动情境中。两个对立的队伍在设定比赛日期时会合作，但在争夺胜利方面则会相互竞争。此外，每个队伍的成员之间也会相互合作，但也会在争取获得最高分数或成为最佳球员方面相互竞争。合作有时会演变成冲突，历史上也曾出现过许多冲突演变为合作的例子。

It should be clear that although the four foremost social processes are discussed separately, in reality they are not so distinct, and they often occur in the same interactive situation. Two opposing teams cooperate when setting dates for games, but they compete for victory. Moreover, the members of each team cooperate among themselves, but also compete in trying to achieve the greatest number of points, or being the best player. Cooperation sometimes deteriorates into conflict, and history has shown many instances of conflict evolving into cooperation.

图片 4.5最可怕的社会进程莫过于战争。战争不仅会杀害和残害某个群体所认定的“敌人”，也常常会杀害和残害自己群体的成员。

IMAGE 4.5 The social process with the most horrific results is war. Not only does war kill and maim those whom one group defines as “the enemy,” but it often kills and maims members of one’s own group.

istock：© IPGGutenbergUKLtd

istock: © IPGGutenbergUKLtd

总而言之，人类生活在各种各样的群体中。人们在这些群体中互动，群体之间也根据社会进程进行互动，其中最重要的是交换、合作、竞争和冲突。互动反过来又具体化为独特的行为模式，赋予每个群体结构和组织。

To recapitulate, human life is lived in a large variety of groups. People interact within these groups, and groups interact with one another according to social processes, the most important of which are exchange, cooperation, competition, and conflict. Interaction, in turn, crystallizes into distinct patterns of behavior that give each group structure and organization.

正式组织

Formal Organizations

组织，就“秩序”而言，是人类参与的大多数企业的特征。以言语形式进行的交流是对声音的组织。音乐是对音调的组织。团队是有组织的参与者。事实上，所有人类互动都因为不断重复而获得了某种结构（组织）。在城市工业社会中，大量匿名个体对国家和彼此的忠诚度都很松散，组织至关重要。我们已经看到，在信息社会到来之前，社会经历了向二级群体的过渡，这种过渡在法团型社会中很普遍。这些类型的社会包含最大数量的正式组织，在这些群体中，组织系统或被视为一种过程的组织达到了最高点。

Organization, in the sense of “order,” is characteristic of most enterprises in which humans participate. Communication in the form of speech is organization of sounds. Music is organization of tones. Teams are organized players. All human interaction, in fact, acquires some structure (organization) because of constant repetition. In urban, industrial societies characterized by large numbers of anonymous individuals with only loose loyalties to the state and to each other, organization is of the essence. We have seen that the coming of the information society was preceded by the transition to secondary groups that are prevalent in Gesellschaft-type societies. These types of societies contain a maximum number of formal organizations, groups in which a system of organization, or organization seen as a process, is brought to its highest point.

正式组织是专门为使互不相识的人们能够建立复杂的关系以实现特定目标而设立的联合体。在大型复杂社会中，大多数必要的活动都是通过这些正式组织进行的。例如，治理事务由被称为“政府”的正式组织网络执行。教育每一代新生是被称为“学校”的正式组织的任务。生产、分配和贸易则通过无数被称为“公司”的正式组织进行。

Formal organizations are associations that are deliberately brought into existence to enable people who do not know each other to carry on complicated relationships for the purpose of attaining specific goals. It is through these formal organizations that most necessary activities are carried out in large, complex societies. For example, the business of governing is carried out by a network of formal organizations called “the government.” Educating each new generation is the task of formal organizations called “schools.” Production, distribution, and trade occur through countless formal organizations called “corporations.”

正式组织和机构杰出

Formal Organizations and Institutions Distinguished

必须对正式组织和机构进行重要区分（参见第三章）。机构是一种程序，一种既定的做事方式，一种行为模式，一种根深蒂固的社会习俗，它成为社会结构的一部分。机构并非人群。人们无法加入机构；人们只能以制度化的方式行事。当两个人结婚时，他们以制度化的方式开展一项人类活动——为了繁衍后代而建立伴侣关系。如果一对伴侣只是同居，他们则以非制度化的方式开展这项活动。

An important distinction must be made between formal organizations and institutions (see Chapter 3). An institution is a procedure, an established way of doing things, a pattern of behavior, a deeply ingrained societal custom that becomes part of the social structure. Institutions are not groups of people. One cannot join an institution; one can merely do things in an institutionalized way. When two people marry, they carry out a human activity—establishing a paired relationship for the purpose of propagating the species—in an institutionalized way. If a couple simply live together, they carry out that activity in a noninstitutionalized way.

另一方面，正式组织是由人群组成的。人们可以加入正式组织，或与其成员或雇员交往。当谈到政府作为一种机构时，它指的是制定政治决策、制定法律和维持社会秩序的常规和既定方式。当谈到某个特定的政府（例如美国政府）时，它指的是由大量高度结构化、等级森严的人员组成的正式组织，这些人经选举、任命或雇佣来执行与治理过程相关的活动（图4.1）。同样，尽管教育是一种机构，是一种试图帮助个人为社会生活做好准备的过程，但例如密歇根大学就是一个正式组织。经济是一种机构，但美国银行是一个正式组织。宗教是一种机构，但罗马天主教会是一个正式组织（事实上，每个教区，甚至每个教堂，都是一个正式组织）。

On the other hand, formal organizations are groups of people. One may join formal organizations or have dealings with their members or employees. When speaking of government as an institution, what is meant is the regular and established way in which political decisions are made, laws are enacted, and order is maintained in society. When speaking of a particular government (such as the government of the United States), what is meant is the formal organization consisting of large numbers of highly structured and hierarchically ranked people who are elected, appointed, or hired to carry out the activities involved in the governing process (Figure 4.1). Similarly, although education is an institution, a process attempting to prepare individuals for life in society, the University of Michigan, for example, is a formal organization. The economy is an institution, but the Bank of America is a formal organization. Religion is an institution, but the Roman Catholic Church is a formal organization (in fact, each diocese, even each church, is a formal organization.)

正式组织的特征

Characteristics of Formal Organizations

正式组织具有以下特征。首先，它们拥有正式的架构；目标及其实现方式均在政策指南、章程和其他细则中正式阐明。它们拥有一个官员团队，其彼此之间以及与组织其他成员之间的关系均以书面形式明确规定。

Formal organizations display the following characteristics. First, they have a formal structure; goals and how to carry them out are stated formally in policy guidelines, constitutions, and other bylaws. They include a body of officers, whose relations with one another and with other members of the organization are specified in writing.

其次，正式组织本应相对持久。有些组织，尤其是那些以营利为目的的组织，可能只是暂时的，但人们期望，只要正式组织能够完成其设定的任务，它就能够长久存在。

Second, formal organizations are meant to be relatively permanent. Some of them, especially those established for profit making, may prove to be temporary, but the expectation is that the formal organization will last as long as it performs the tasks it set for itself.

第三，权力以等级制组织，形成科层制。组织的领导权由个人承担，他们的等级从高到低排列。高级别的人负责决策、发布命令，低级别的人则负责执行。

Third, authority is organized in a hierarchical order, giving rise to a bureaucracy. The leadership of the organization is assumed by individuals, who are ranked from high to low. The high-ranking individuals make decisions and give the orders, and each lower rank executes them.

第四，正式组织有正式的纲领。组织成员以纲领为指导，实现其目标。组织中个人之间的关系系统而复杂，遵循科层制原则（见下文讨论）和纲领中规定的指导方针。

Fourth, formal organizations have a formal program. Those who are part of the organization use the program as a guide to attain their goals. Relationships among individuals in the organization are systematic and complex, following bureaucratic principles (see later discussion) and the guidelines specified in the program.

正式组织的类型

Types of Formal Organizations

正式组织种类繁多：私人和公共组织、地方性、全国性或全球性组织、自愿和非自愿组织，关注特殊利益或普遍需求。它们之间的区别在于其对人员的控制方式，或成员与组织的关系。社会学家据此将正式组织分为三种类型：规范型、强制性和功利型（Etzioni，1975）。

Formal organizations are of all types: private and public, local or national or global, voluntary and involuntary, focusing on special interests or on universal needs. One distinction among them is made on the basis of how control is exerted over people, or how members relate to the organization. Sociologists identify three types of formal organizations on this basis: normative, coercive, and utilitarian (Etzioni, 1975).

美国海军部组织结构图

Organizational Chart of the U.S. Department of the Navy

图4.1

Figure 4.1

规范组织。一些正式组织是自愿加入的，因为个人认为他们的目标值得追求。这些正式组织被称为志愿协会。它们由业余志愿者组成，但大多数也拥有一批全职、有偿的专业员工。志愿协会的例子包括教会组织（例如姐妹会）、专业团体（例如美国医学协会）以及娱乐协会（例如美国桥牌联盟）。

Normative Organizations. Some formal organizations are joined by choice because individuals feel that their goals are worthwhile. These formal organizations are called voluntary associations. They consist of members who are spare-time volunteers, although most also have a core of full-time, paid, professional employees. Examples of voluntary associations are church organizations (i.e., sisterhoods), professional groups such as the American Medical Association, and recreational associations such as the American Contract Bridge League.

美国人以“加入者”（joiners）著称，志愿社团也非常多。然而，实际上，只有少数人积极参与志愿组织。这些人通常是中年城市居民，已婚育有子女，社会经济地位不断上升，或已处于较高的社会经济水平，居住稳定，受过良好教育。

Americans are known as “joiners,” and there are a great many voluntary associations. In reality, however, only a minority of people are active in voluntary organizations. The latter are usually urban residents in their middle years, married and with children, socially and economically upwardly mobile or already at a high socioeconomic level, residentially stable, and well educated.

自愿协会将那些特定利益与社会并不一致的人聚集在一起：并非所有人都同意女性在美国应该获得堕胎权，但相当多的人确实同意她应该这样做。合法堕胎的支持者如果组织成自愿协会，就能更有效地为这项事业开展工作。他们甚至可能说服那些漠不关心或持敌对态度的大多数人相信他们目标的价值。自愿协会通常是那些因争议太大而无法由机构组织处理的社会项目的试验场。它们也为普通公民提供了一个参与社会决策过程的渠道。这一点对利益集团、政党和社会运动尤为重要，所有这些重要的自愿组织将在后面的章节中探讨。

Voluntary associations bring together people whose particular interests are not shared by the whole society: not everyone agrees that a woman should be able to obtain an abortion in the United States, but a good number of people do agree that she should. The supporters of legal abortion are better able to work for the cause effectively when they organize into a voluntary association. They may even be able to convince an indifferent or hostile majority of the value of their goal. Voluntary associations are often testing grounds for social programs that are still too controversial to be handled by institutional organizations. They also provide a channel through which the private citizen can share in the decision-making process of society. This facet is particularly important to interest groups, political parties, and social movements, all important voluntary organizations that are examined in later chapters.

强制组织。人们被迫以武力威胁加入的组织包括监狱、精神病院以及征兵时的军队。当然，这些组织的成员并非自愿加入，也没有任何承诺。在美国，军队已成为自愿组织，但在以往的战争中，它们曾是强制的。监狱、医院和军队代表了一种极端的强制组织——全能机构，它将囚犯与社会其他部分隔离开来，提供一个包罗万象的社会环境，其中盛行着特殊的规范和独特的身体特征。强制组织的目标是改变囚犯或患者的态度和行为，特别是改变个人的自我意识或人格（Goffman，1961）。

Coercive Organizations. Organizations that people are compelled to join with the threat of force include prisons, mental hospitals, and the military when there is a draft. Naturally, members of these organizations do not join voluntarily and have no commitment to them. In the United States, the military services have become voluntary associations, but during previous wars they had been coercive. Prisons, hospitals, and the military are illustrative of an extreme type of coercive organization, the total institution, which isolates inmates from the rest of society, providing an all-encompassing social environment in which special norms and distinctive physical features prevail. The goal of coercive organizations is to change the attitudes and behavior of the inmate or patient—in particular, to change an individual’s sense of self, or personality (Goffman, 1961).

功利主义组织。人们加入一些正式组织是出于获取物质利益的需要。例如，如果他们想要一份工作，他们可能不得不成为一家公司的雇员。各种类型的企业和各行各业都是功利主义组织的例子。功利主义组织不像强制性组织那样强迫其成员，但它们不像规范性组织那样给予成员那么多的个人自由。人们加入功利主义组织是因为他们必须谋生，而不是因为他们喜欢参与其中。因此，尤其是在组织的底层，员工们对组织的目标并不太投入：他们为了获得报酬而做他们必须做的事情。在许多网站上可以找到正式组织的例子以及与机构和其他团体的比较。

Utilitarian Organizations. People join some formal organizations out of necessity to gain material benefits. For instance, if they want a job, they may have to become employees of a corporation. Businesses of all types, and all the various industries, are examples of utilitarian organizations. Utilitarian organizations do not coerce their members as coercive organizations do, but they do not offer them as much personal freedom as normative organizations. People join utilitarian organizations because they have to make a living, and not because they enjoy participating in them. As a result, particularly at the lower end of the organization, workers are not too committed to the goals of the organization: they do what they must to get paid. Examples of formal organizations and comparisons to institutions and other groups may be found on a number of Web sites.

官僚

Bureaucracy

所有正式组织，当其达到一定规模时，都会遵循科层制的原则进行管理。科层制是一种层级结构（或组织模式），旨在通过分工和权力链合理地协调众多个体的工作。科层制是一种以金字塔结构组织一群人的制度。其目的是以最高效、最智能的方式管理大型组织。它试图以最佳手段实现预期目标。

All formal organizations, when they attain a certain size, are administered according to the principles of bureaucracy. Bureaucracy is a hierarchical system (or an organizational model) for rationally coordinating the work of many individuals through a division of labor and a chain of authority. A bureaucracy is a system for organizing a group of people in a pyramid fashion. The purpose is to administer large-scale organizations in the most efficient and intelligent manner. It is an attempt to obtain the desired goals by the best possible means.

德国社会学家马克斯·韦伯认为，理想状态下的纯粹官僚体制应当具备以下特点：（1）专业化，即劳动分工；（2）指挥链，即权力等级制度；（3）一套涵盖所有级别成员权利和义务的规则；（4）另一套概述执行任务程序的规则。所有任务；（5）成员之间关系的客观性；（6）基于功绩和工作年限（资历）的选拔；（7）效率规范（Weber，1925/1947，334）。

In its ideal form, as set forth by Max Weber, a German sociologist, a pure bureaucracy ought to be characterized by (1) specialization, or division of labor; (2) a chain of command, or a hierarchy of authority; (3) a body of rules covering both rights and duties of all members at all ranks; (4) another set of rules outlining procedures for carrying out all tasks; (5) impersonality in the relationships among members; (6) selection based on merit and job tenure (seniority); and (7) the norm of efficiency (Weber, 1925/1947, 334).

韦伯认为，科层制组织形式使社会生活更加“理性”，因为在这种制度下，人们能够高效地实现目标，并将人与人之间的冲突降至最低。在科层制中，个人的个性对组织而言并不重要，因为无论由谁担任，每个职位的活动都保持不变。这种形式赋予组织稳定性、可预测性和连续性。科层制组织对私人和公共协会都同样有效——事实上，对所有旨在服务于人民的各类协会而言都是如此。

Weber believed that a bureaucratic form of organization made social life more “rational” because it was a system in which goals could be attained efficiently and with a minimum of conflict among people. In a bureaucracy, individual personalities do not matter to the organization because each position consists of activities that remain the same, no matter who fills the position. This formality gives the organization stability, predictability, and continuity. Bureaucratic organization works equally well for private and public associations—in fact, for all kinds of associations designed to serve people.

韦伯知道，现实中的官僚体制不会像他所描述的理想形式那样有效，事实也并非如此。官僚体制最糟糕的地方在于，它本应服务于民众，却常常令民众感到沮丧。官僚体制抗拒变革，官僚们不知何故开始认为规则本身就是目的。对规则的盲目忠诚导致了我们熟知的“官僚作风”现象，也扼杀了官僚们的个人主动性。官僚们常常想“推卸责任”，因为将决策责任推卸给上级更容易——如果决策被证明是错误的，那么上级就可以承担责任。官僚体制还有一个令人厌恶的习惯，就是仅仅因为员工想保住自己的工作，就一心追求自身的福祉和长治久安。

Weber knew that bureaucracy would not work as well in reality as in the ideal form he described, and it does not. The worst thing that can be said about bureaucracy is that although it is supposed to serve people, it often frustrates them instead. Bureaucracies are resistant to change, and bureaucrats somehow start to believe that rules are ends in themselves. Blind loyalty to rules results in the familiar “red tape” phenomenon, as well as in the stifling of personal initiative on the part of bureaucrats. Bureaucrats often want to “pass the buck” because it is easier to shift the responsibility for decision making to someone higher in the hierarchy—then that person can be blamed if the decision turns out to be wrong. Bureaucracies also have a nasty habit of becoming devoted to their own welfare and perpetuation simply because employees want to hang on to their jobs.

官僚体制的动态特质和非正式方面

Dynamic Quality and Informal Side of Bureaucracy

尽管官僚体制屡屡失灵，但它仍具有一定的动态特质，使其能够应对社会条件的变化。事实上，在某些方面，官僚体制或许有助于促进社会创新。布劳和迈耶（1971，105）认为，单靠科学家的创意无法催生出引发社会变革的发明。在当今复杂的社会中，需要官僚机制将科学家的创意转化为产品，并为科学家提供实验室和环境，以便他们能够合作开发新成果。作者总结道：“社会创新的有意识引入依赖于官僚的管理方式。”

Despite its several failures, bureaucracy has a certain dynamic quality that enables it to respond to changing conditions in society. In some respects, in fact, bureaucracies may be instrumental in promoting innovation in a society. Blau and Meyer (1971, 105) suggest that the ideas of scientists alone could not lead to the inventions that in turn trigger social change. In today’s complex societies, bureaucratic machinery is needed to translate the ideas of scientists into products and to furnish scientists with laboratories and environments in which they can collaborate on new developments. The authors conclude that the “deliberate introduction of a social innovation depends on bureaucratic methods of administration.”

最后，除了正式和结构化的官僚体系之外，还存在着非正式的一面，由员工之间发展起来的个人关系网络构成。这些关系网络有时通过个人影响力而非常规的权威渠道来完成工作。

Finally, alongside the formal and structured side of bureaucracy exists an informal side made up of networks of personal relationships that develop among employees. These networks are occasionally responsible for getting things done through the influence of individuals instead of the regular channels of authority.

私营和公共部门官僚体制的发展，以及当前企业官僚体制的变革，将在后续章节中进一步探讨经济的各个方面。《新世界百科全书》在线版对官僚体制进行了深入探讨。相关案例也发布在：www.study.com/academy/lesson/formal-organization-structure-utilitarian-normative-coercive.html。

The development of bureaucracy in the private and public sectors, and current alterations in corporate forms of bureaucracy, are discussed further in later chapters that deal with various facets of the economy. The New World Encyclopedia has a good discussion of bureaucracy online. Examples are also presented on: www.study.com/academy/lesson/formal-organization-structure-utilitarian-normative-coercive.html.

人类是群居动物，一生中最美好的时光都与形形色色的群体共度。群体生活通过重复习得特定的模式；每个群体都是一个具有结构和组织的社会系统。该结构由群体成员互动过程中形成的共享且重复的行为模式构成。人们通过一系列社交过程进行互动，并从自身在群体中的位置（身份）出发与他人建立联系，并采取与该位置（角色）相符的行为。群体中的某些位置（身份）是被赋予的；也就是说，人们无法控制它们（例如性别、年龄、种族或民族出身）。其他身份则源于个人的努力、功绩或缺乏。

People are group animals who spend the best parts of their lives in groups of one kind or another. Life in groups acquires a certain pattern through repetition; each group is a social system with a structure and an organization. The structure consists of shared and repeated patterns of behavior that emerge as a result of the interaction of group members. People interact by using a number of social processes and by relating to others from the standpoint of their own position (status) in the group while carrying out the behavior befitting that position (role). Some positions (statuses) within the group are ascribed; that is, people have no control over them (such as gender, age, race, or ethnic origin). Other statuses are achieved as a result of personal effort or merit or lack of them.

由于每个人在各种各样的群体中拥有不同的身份，人们面临着角色混淆、冲突、压力以及失败的风险。一般来说，人们会尽力扮演与其主人身份相匹配的角色。

Because of the multiplicity of statuses that each person holds in a large variety of groups, people are faced with role confusion, conflict, and strain, as well as failure. In general, people attempt to fill the role attendant on their master status best.

群体的定义取决于（1）成员之间的象征性互动；（2）成员对成员身份的认识；（3）成员对群体成员身份所产生的角色、职责、义务和特权的认可；（4）成员对共同价值观的认同。

A group is defined by (1) symbolic interaction among the members; (2) members’ awareness of membership; (3) members’ recognition of the roles, duties, obligations, and privileges resulting from group membership; and (4) members’ agreement on shared values.

根据群体规模，群体可分为二人组（由两人组成的群体）和三人组（由三人组成的群体），它们是基本的社会单位。此外，群体还可根据其主要或次要属性、内群体或外群体、参照群体、正式或非正式群体以及自愿或非自愿群体进行分类。其中，最重要的分类是主要群体和次要群体。主要群体以个人和整体为基础进行亲密、强烈、非正式和自发的互动；次要群体往往规模较大、临时性强、正式、实用且专业化。尽管主要关系对个人而言非常令人满意且非常重要，但工业社会正日益以次要群体为特征。

Groups are classified into dyads (groups consisting of two individuals) and triads (groups consisting of three individuals), which are the basic social units, and according to their size. Groups are also classified by whether they are primary or secondary, in-groups or out-groups, reference groups, formal or informal groups, and voluntary or involuntary groups. Of these, the most important classification is that into primary and secondary groups. Primary groups engage in intimate, intense, informal, and spontaneous interaction on a personal and total basis; secondary groups tend to be large, temporary, formal, utilitarian, and specialized. Although primary relationships are very satisfying and important to the individual, industrial societies are increasingly characterized by secondary groups.

社会是人类所属的最大群体。社会可根据其主要生存方式（狩猎采集、游牧或畜牧、园艺、农业、渔业或航海、工业）或基本社会组织模式（传统或社区型——礼俗社会；现代工业型或协会型——法理社会）进行分类。礼俗社会规模相对较小，成员结构同质；行为受传统支配；成员之间以非正式、面对面的方式互动。法理社会往往规模庞大且成员构成异质，成员之间的关系非个人化、正式化、功能性、契约性和专业化。历史上，社会的趋势是从礼俗社会向法理社会转型。

The largest group to which people belong is society. Societies are classified according to either their chief mode of subsistence (hunting and gathering, pastoral or herding, horticultural, agrarian, fishing or maritime, and industrial) or their basic patterns of social organization (traditional or communal—Gemeinschaft; modern industrial or associational—Gesellschaft). Gemeinschaft societies are relatively small, with a homogeneous membership; behavior is dictated by tradition; and members interact on an informal, face-to-face basis. Gesellschaft societies tend to be large and heterogeneous, and relationships among members are impersonal, formal, functional, contractual, and specialized. The trend historically has been a transition from a Gemeinschaft to a Gesellschaft type of society.

群体内部和群体之间发生的互惠关系被称为互动。互动通过一系列社会过程进行，其中最基本的是交换、合作、竞争和冲突。无论关系类型如何——主要或次要——其中一个或多个社会过程都在发挥作用。

The reciprocal relationships that occur within and among groups are called interactions. Interaction takes place through a number of social processes, the most basic of which are exchange, cooperation, competition, and conflict. Whatever the type of relationship—primary or secondary—one or more of these social processes is at work.

所有人类活动都在某种程度上具有组织性和结构性。在复杂的社会中，组织规模庞大；也就是说，没有个人亲属关系的群体必须建立复杂的关系才能实现某些特定目标。现代社会的大多数活动都是在这些群体中进行的，这些群体被称为正式组织或协会。其中一些组织是规范性的或自愿性的；另一些是强制性的，例如监狱、精神病院和军队；还有一些是功利性的，例如商业公司。正式组织具有正式的结构、一定程度的永久性、权力的等级秩序以及成员之间的固定关系。大多数组织都以一种被称为“科层制”的行政模式高度组织化。

All human activities are somewhat organized and structured. In complex societies, organization is on a large scale; that is, groups of people who are not personally related must carry on complicated relationships to attain some specific goals. Most of the activities of modern societies are performed in these groups, which are called formal organizations or associations. Some of these organizations are normative, or voluntary; others are coercive, such as prisons, mental hospitals, and the military, and still others are utilitarian, such as business companies. Formal organizations have a formal structure, a degree of permanence, a hierarchical order of authority, and fixed relationships among members. Most are highly organized in an administrative pattern termed a bureaucracy.

官僚体制是一种基于劳动分工和权力链的等级制度，旨在合理协调众多个体的工作。理想或纯粹的官僚体制很少与其实际运作相符：它倾向于抵制变革，规则僵化，目的和手段混乱，扼杀个人主动性，使员工优柔寡断。同时，官僚体制也具有足够的活力来应对变革并促进社会创新。

Bureaucracy is a hierarchical arrangement based on division of labor and a chain of authority for the purpose of rationally coordinating the work of many individuals. Bureaucracy in its ideal, or pure, form seldom corresponds to its real functioning: it tends to resist change, its rules become rigid and ends and means become confused, it stifles personal initiative, and it makes employees indecisive. At the same time, bureaucracy is dynamic enough to respond to change and promote innovation in society.

已获得的地位 通过个人努力或功绩获得的地位。

achieved status A position attained through individual effort or merit.

聚合体 一群同时出现在同一个地点，但彼此之间不互动的人。

aggregate A number of people who are in the same place at the same time, but who do not interact with one another.

既得地位 一种继承的地位——不是通过个人努力或功绩获得的地位。

ascribed status An inherited position—one that is not attained through individual effort or merit.

官僚机构 在正式机构中盛行的等级管理制度组织。等级制度取决于工作专业化、一套促进统一的规则和标准，以及一种客观公正的态度。

bureaucracy The hierarchical system of administration prevailing within a formal organization. The hierarchy depends on job specialization, a set of rules and standards to promote uniformity, and an attitude of impersonal impartiality.

类别（指人）一群具有一些共同特征但彼此不互动的人。

category(referring to people) A number of people who have some characteristics in common but who do not interact with one another.

竞争当两个或两个以上的人试图利用规则和限制来获取同一稀缺物品或无形价值的所有权时发生的社会过程（互动形式）。

competition A social process (form of interaction) that occurs when two or more individuals try to obtain possession of the same scarce object or intangible value using rules and limits.

冲突一种社会过程（互动），包括两个或两个以上的人为争夺各自珍视的物体或价值而进行的敌对斗争，甚至可能达到毁灭的程度。

conflict A social process (interaction) consisting of a hostile struggle in which two or more persons engage for an object or value that each prizes, possibly to the point of destruction.

合作一种基本的社会过程（互动），涉及两个或两个以上的个人或团体为了一个共同的目标而共同努力。

cooperation A basic social process (interaction) involving two or more individuals or groups working jointly in a common enterprise for a shared goal.

二元组 由两个成员组成的最小群体类型。

dyad The smallest type of group, consisting of two members.

交换一种社会过程（互动），由交易组成，其中两个个人（或团体或社会）中的一个人为另一个人做一些事情，期望获得同等价值的回报。

exchange A social process (interaction) consisting of a transaction in which one of two individuals—or groups or societies—does something for the other with the expectation of receiving something of equal value in return.

正式组织： 指大规模的人员联合体，负责处理复杂社会中的大多数活动。这些组织高度组织化，具有正式的组织结构、官员机构、对永久性的期望以及等级森严的权力组织（官僚机构）。

formal organizations Large-scale associations of people in which most of the activities of complex societies are handled. They are highly organized groups displaying a formal structure, a body of officers, the expectation of permanence, and a hierarchical organization of authority (bureaucracy).

社区（Gemeinschaft） 一个小型、同质、公共且传统的社会。成员之间的关系是私人的、非正式的、面对面的，行为受传统支配。

Gemeinschaft A small, homogeneous, communal, and traditional society. Relationships among members are personal, informal, and face-to-face, and behavior is dictated by tradition.

社团组织： 一个庞大而异质的社会，以现代工业国家为典型。成员之间的关系往往是非个人化的、正式的、契约性的、功能性的和专业化的。也被称为社团组织。

Gesellschaft A large, heterogeneous society, typified by the modern industrial state. Relationships among members tend to be impersonal, formal, contractual, functional, and specialized. Also called an associational society.

群体参与象征性互动的一定数量的个人；他们相互了解并相互影响；他们认识到自己在群体中的成员身份，同时也被群体承认为成员；他们了解成员的角色、职责、义务和特权；并且就他们所共有的行为准则、价值观和目标达成一致。

group A number of people who engage in symbolic interaction; who are mutually aware of and influence one another; who recognize their membership in the group and are in turn recognized as members by the group; who are aware of the roles, duties, obligations, and privileges of membership; and who agree to a point about the behavioral guidelines, values, and goals they share.

内群体 个人所属的群体，该群体赋予个人社会身份。

in-group Group to which the individual belongs and which confers on the individual a social identity.

制度： 一种程序，一种行为模式，一种根深蒂固的社会习俗，成为社会结构的一部分。制度并非由人群构成。

institution A procedure, a pattern of behavior, a deeply ingrained societal custom that becomes part of the social structure. Institutions are not groups of people.

宏观社会 社会科学家分析群体间互动的层面。

macrosocial The level at which social scientists analyze interaction between and among groups.

会员团体 个人所属的正式或非正式组织。

membership group Formal or informal organizations to which individuals belong.

微观社会 分析的重点是个体之间的互动。组织： 一种正式的流程，旨在特意召集一群人执行旨在实现特定目标的任务。它使彼此不熟悉的人能够在复杂的项目上进行有效合作。

microsocial The focus of analysis is on interaction of individuals to each other.organization A formal process that deliberately brings into existence a group of people to perform tasks directed at achieving a specific goal. It allows people who are unacquainted with each other to cooperate effectively on complex projects.

外群体 其他人所属的群体，但不包括定义群体成员资格的个人。

out-group Group to which others belong, excluding the individual defining group membership.

基层群体： 指居住地相近、互动频繁的相对较小的群体。其特点包括：稳定性、持续时间相对较长、互动形式非正式且自发，以及个体、个人和整体交往类型。

primary group A relatively small group of people who live physically near one another and who interact intensely. Characteristics include stability, relatively long duration, informal and spontaneous interaction, and individual, personal, and total types of dealings.

参照群体 为个人提供自我衡量标准的群体。

reference group A group providing individuals with standards against which to measure themselves.

角色： 某种地位的体现。一种符合某种地位的行为方式，可传承，且相当可预测。

role The carrying out of a status. A way of behaving that befits a status and is transmittable as well as fairly predictable.

次要群体： 通常比主要群体规模更大、持续时间更短的群体。成员之间的互动是正式的、基于角色的、实用的、专业的和临时的。

secondary group A group that is in general larger and of shorter duration than a primary group. Interaction among members is formal, role-based, utilitarian, specialized, and temporary.

社会组织 人类行为模式化的网络，是互动的产物，同时也指导互动。

social organization The network of patterned human behavior that is the product of interaction and, at the same time, guides interaction.

社会过程 所有人类社会共有的互动关键模式（合作、竞争、交换和冲突）。

social processes Key patterns of interaction common to all human societies (cooperation, competition, exchange, and conflict).

社会结构 社会系统的内容，由地位、角色、群体、规范和制度组成。

social structure The content of the social system, consisting of statuses, roles, groups, norms, and institutions.

社会系统 一种社会关系的概念模型，其中每个部分都相互依存且相互联系。

social system A conceptual model of social relationships in which each part is interdependent and interconnected to every other part.

社会最大的社会群体。存在于最大社会系统边界内的相互关联的社会关系网络。

society The largest social group. An interrelated network of social relationships that exists within the boundaries of the largest social system.

地位： 社会群体中的等级位置。地位的等级是根据其在社会群体中的重要性来划分的。

status A ranked position in a social group. Statuses are rated according to their importance in a social group.

象征性互动 通过言语、手势、写作甚至音乐进行交流。

symbolic interaction Communication through speech, gestures, writing, or even music.

全权机构 一种极端的强制性组织，将个人与社会其他部分隔离开来，提供一个包罗万象的社会环境，其中盛行特殊的规范和独特的身体特征，目的是改变个人的态度、行为和个性。

total institution An extreme type of coercive organization that isolates individuals from the rest of society, providing an all-encompassing social environment in which special norms and distinctive physical features prevail, with the goal of changing the individual’s attitudes, behaviors, and personality.

三人组： 由三个人组成的群体。比二人组更稳定的社会单位。

triad A group consisting of three individuals. A more stable social unit than a dyad.

Bell, Daniel。1987 年。“2013 年的世界与美国。” Daedalus 116(3): 1-31。

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Blau Peter M., and Marshall W. Meyer. 1971. Bureaucracy in Modern Society. New York: Random House, p. 105.

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Caplow, Theodore. 1968. Two Against One: Coalitions in Triads. Englewood Cliffs, NJ: Prentice Hall.

库利，查尔斯·霍顿。1909/1910。《社会组织：对更大心智的研究》。纽约：斯克里布纳出版社。

Cooley, Charles Horton. 1909/1910. Social Organization: A Study of the Larger Mind. New York: Scribner’s.

Etzioni, Amitai。1975。《复杂组织的比较分析》，修订版。纽约：自由出版社。

Etzioni, Amitai. 1975. A Comparative Analysis of Complex Organizations, rev. ed. New York: Free Press.

戈夫曼，欧文。1961。《精神病院：论精神病人及其他精神病人的社会处境》。纽约花园城：Anchor出版社。

Goffman, Erving. 1961. Asylums: Essays on the Social Situation of Mental Patients and Other Inmates. Garden City, NY: Anchor.

Headland, Thomas 和 Lawrence Reid。1989 年。“从史前到现在的狩猎采集者及其邻居。” 《当代人类学》 30：43-66。

Headland, Thomas, and Lawrence Reid. 1989. “Hunter Gatherers and Their Neighbors From Prehistory to the Present.” Current Anthropology 30: 43–66.

Lenski, Gerhard。1970/1987。《人类社会》。纽约：麦格劳希尔，第 18-142 页。

Lenski, Gerhard. 1970/1987. Human Societies. New York: McGraw-Hill, pp. 18–142.

Nisbet, Robert A. 1970. 《社会纽带》。纽约：克诺夫出版社，第50页。

Nisbet, Robert A. 1970. The Social Bond. New York: Knopf, p. 50.

齐美尔，格奥尔格。1905/1956。《冲突与群体归属网络》。库尔特·H·沃尔夫译。格伦科，伊利诺伊州：自由出版社。

Simmel, Georg. 1905/1956. Conflict and the Web of Group Affiliation. Kurt H. Wolff, transl. Glencoe, Ill: Free Press.

Tönnies, Ferdinand。1887/1957。社区与社会。纽约：Harper Torchbooks。

Tönnies, Ferdinand. 1887/1957. Community and Society. New York: Harper Torchbooks.

韦伯，马克斯。1925/1947。《社会和经济组织理论》。纽约：自由出版社，第334页。

Weber, Max. 1925/1947. Theory of Social and Economic Organization. New York: Free Press, p. 334.

White, EB 1949.这里是纽约。纽约：Harper & Row，第27-30页。

White, E. B. 1949. Here Is New York. New York: Harper & Row, pp. 27–30.

卡夫卡，弗朗茨。1925年，1926年，1999年。《审判》和《城堡》。纽约：Schocken出版社（平装本）。这位捷克裔德国（犹太）小说家的这两部小说生动地展现了官僚主义的不可理喻和荒谬，以及它如何在日益成为法人团体（Gesellschaft）的社会中疏远人们，在这种社会中，次要的互动盛行。

Kafka, Franz. 1925, 1926, 1999. The Trial and The Castle. New York: Schocken (paperback). These two novels by the Czech-German (Jewish) novelist are dramatic examples of how bureaucracy can be incomprehensible and absurd, and how it can alienate people in societies that were becoming more and more of a Gesellschaft in which secondary interactions prevailed.

Zollinger, Janet Giele 和 Elke Holst。2003年。《西方工业社会的生活模式变化》。纽约：爱思唯尔出版社。本书分析了工业社会到来后以及之后人们生活模式的变化。作者描述了多个国家的趋势，并推测了未来变化的方向。

Zollinger, Janet Giele, and Elke Holst. 2003. Changing Life Patterns in Western Industrial Societies. New York: Elsevier. This book analyzes the changes in life patterns that followed and continue to follow the advent of industrial societies. The authors describe the trends across a number of countries and speculate on the direction of future change.

Becoming a Person: The Birth of Personality

成为一个人：人格的诞生

在本章中，你将学习

IN THIS CHAPTER, YOU WILL LEARN

• 人类婴儿必须学习如何成为人类；

• that human infants must learn how to become human beings;

• 性格是建立在遗传和环境微妙的相互作用基础上的；

• that personality is based on a delicate interplay of heredity and environment;

• 人格的形成是通过社会化过程实现的；

• that the acquisition of personality occurs through the process of socialization;

• 各种社会化理论；

• the various theories of socialization;

• 社会化的推动者；

• the agents of socialization;

• 社会化贯穿人的一生；

• that socialization occurs throughout a person’s life; and

• 一个人必须重新适应生活中的每一个新角色。

• that one has to become resocialized to each new role in life.

我放眼世界任何地方的医院育婴室，都会看到类似的景象：一排排婴儿床或婴儿篮里，躺着性别不明的婴儿，有的扭动着身子哭闹，有的则安然入睡。仔细观察会发现外观上的差异，但乍一看，所有婴儿都长得非常相似。20年后，如果再见到同一个婴儿，他们之间的差异无疑会一目了然：这些人不仅外貌独特，而且在交谈中，也会展现出各种态度、观点、信仰和价值观。此外，他们表达这些观点的方式也各不相同。

If one were to look into a hospital nursery almost anywhere in the world, the picture would be similar: rows of cribs or baskets containing infants of indeterminate gender, some of whom are squirming and crying while others are sleeping peacefully. A closer look will reveal differences in appearance, but at first glance, all the babies look very much alike. Should one meet the same babies 20 years later, the differences among them would no doubt be dramatically obvious: not only would these individuals be distinctive in looks but also, if engaged in conversation, they would display a variety of attitudes, opinions, beliefs, and values. Moreover, they would differ in the manner in which they expressed them.

医院里遇到的婴儿都经历了两个不可避免的过程。一个是成熟，即身体的生理发育，每个人的发育速度大致相同。另一个是社会化，即成为人类的过程，学习社会规范和价值观，同时发展每个人独特的个性。

The infants met in the hospital have been subjected to two unavoidable processes. One is maturation, or the physical development of the body, which proceeds at approximately the same rate for everyone. The other is socialization, or the process of becoming human, learning societal norms and values while developing a personality unique to each individual.

说到这儿，你可能会问，成为人是否有必要，人是否并非生来就是人？答案似乎是，基于大量社会孤立的例子，一个人确实必须向他人学习如何成为人。婴儿基本上只能完成一些身体机能，除此之外别无其他。如果婴儿被单独留下，没有任何人类陪伴，即使他们的生理需求得到满足，他们要么死亡，要么无法正常发育。只有在与同类交往并向他们学习的过程中，我们才能成为具有鲜明个性的独特个体，并融入特定的社会结构。

You may ask at this point whether it is necessary to become human, whether in fact people are not born human. The answer, based on a large number of instances of social isolation, seems to be that, indeed, one must learn from others how to become human. The infant is basically a creature capable of a few bodily functions but little more. Infants who have been left alone without any human companionship, even if their biological needs are attended to, either die or fail to develop normally. It is only in the process of relating to others of our species and learning from them that we become unique individuals with distinctive personalities who fit into a particular social structure.

图 5.1这些婴儿的体重或头发颜色可能有所不同，但关于他们的性格或个性，我们几乎无法得知。这些特征会在社会化过程中逐渐显现。

IMAGE 5.1 These babies may differ in weight or hair color, but there is not much one can say about their character or personalities. Those traits will emerge after a process of socialization.

性格

Personality

人们常说一个人要么性格很好，要么完全没有性格。前一种描述只是片面且模糊的，而后一种描述则是不可能的，因为每个人都有自己的性格。人们往往对“性格”一词的使用不够精确。

It is frequently said of a person that he or she either has a nice personality or no personality at all. The first description is only partial and vague, and the second one is impossible, for every person has a personality. People tend to use the term personality imprecisely.

人格可以定义为一个复杂而动态的系统，涵盖个体所有相当一致的行为和情感特征——行动、习惯、态度、信仰、价值观、目标等等。当然，人格是一个抽象的术语。它之所以动态，是因为人格会根据影响个体的事件或个体对这些事件的感知而不断变化和调整。人格也可以被视为一个循环系统：虽然人们在社会中扮演的角色会影响他们的人格，但人格也会影响人们看待和完成角色的方式。最后，人格之所以独特，是因为每个人天生就具有一组特定的遗传特征和潜能，并拥有独属于他或她自己的经历。即使是拥有相同生物遗传的同卵双胞胎，也可能因不同的生活经历而表现出人格差异。

Personality may be defined as a complex and dynamic system that includes all of an individual’s fairly consistent behavioral and emotional traits—actions, habits, attitudes, beliefs, values, goals, and so on. It is, of course, an abstract term. It is dynamic because personality continually changes and adjusts to events that affect the person or in accordance with how the person perceives these events. Personality may also be seen as a circular system: although the roles people fill in society affect their personalities, personalities also influence the way roles are seen and accomplished. Finally, personalities are distinctive because each individual is born with a specific set of inherited traits and potentials and then has experiences that are exclusively his or her own. Even identical twins, with the same biological heredity, may display personality differences based on different life experiences.

人格：基于生物学的社会产物

Personality: A Social Product on a Biological Basis

人格研究涉及许多科学家——心理学家、社会学家、人类学家和动物行为学家（研究自然环境中动物行为的科学家）。（例如，环境）。许多研究首先关注的是，人格中遗传特质和后天习得行为的比例——人主要是生物性生物还是文化性生物？遗憾的是，这个问题无法给出简单的答案。迄今为止的研究似乎表明，人格发展是生物遗传、物质环境、文化、群体经验和个人经历相互作用的结果。

The study of personality has involved a number of scientists—psychologists, sociologists, anthropologists, and ethologists (scientists who study animal behavior in natural surroundings). Much of the research concerns, first, the issue of what proportion of personality is made up of inherited traits and what proportion consists of learned behavior—are people predominantly biological or predominantly cultural creatures? Unfortunately, no easy answer can be given. Research to date seems to indicate that personality development occurs as a consequence of the interplay of biological inheritance, physical environment, culture, group experience, and personal experience.

所有人类共有的生物遗传，在某些方面使他们倾向于接受他人的学习，并在此过程中形成了个性。人类缺乏强烈的本能；在很大程度上，他们必须学习如何才能最大限度地发挥自身优势。（尽管缺乏本能，但人类确实具有生物驱动力，例如自我保护、饥饿、口渴以及性欲。有些人还具有探索、实验和分析的驱动力。这些驱动力被视为有机体中必须缓解的紧张或不适。如何最好地缓解这些不适是文化的功能，而文化代表着无数代人积累的学习成果。）

The biological inheritance that all humans share is one that, in some respects, predisposes them toward accepting learning from others, in the process of which they acquire a personality. Humans lack strong instincts; to a great extent they must learn how to act to their best advantage. (Although they lack instincts, humans do have biological drives, such as self-preservation, hunger, thirst, and the need for sex. Some also add the drive toward exploration, experimentation, and analysis. These drives are perceived as tensions or discomforts in the organism that must be relieved. How best to relieve the discomfort is the function of culture, which represents the accumulated learning of countless preceding generations of people.)

生物学也导致了人类普遍存在对社会和身体接触的需求，人类与许多动物都拥有这种需求，这可以被解读为接受和给予爱的需要。如前所述，已有研究反复证明，那些被剥夺了爱的接触的婴儿——例如因成为孤儿而被送入收容机构的婴儿、因非婚生子女或由患有精神疾病的母亲所生而被孤立出来的婴儿，以及仅仅因为被严重忽视的婴儿——在身体或精神上都无法正常发育。有些婴儿在婴儿期发育不良而夭折。有些婴儿长大后会遭受精神或其他方面的损伤 (Spitz, 1964)。虽然原因尚不清楚，但婴儿期缺乏身体接触和刺激似乎会抑制高级学习功能的发展。在这种需求方面，人类并非孤例：我们的近亲，猿类家族的成员，也表现出对类似的亲密关系和身体接触的需求。在一项著名的恒河猴实验中，研究人员发现，恒河猴幼崽与亲生母亲分离后，即使“她”不给它们喂食，它们也更喜欢柔软舒适的毛巾布“妈妈”，而不是用铁丝做成的“代理妈妈”（虽然“她”会给它们喂食）。幼崽在感到压力时会跑向柔软的“妈妈”，并且更喜欢大部分时间都待在“她”身边（Harlow，1966）。在野外，许多动物都会有梳理毛发的行为，这被认为是亲密关系的表达，也是与他人分享活动（进行社交互动）需求的表现。近期学者们探讨触摸重要性的文章可以在互联网上找到。

Biology is also responsible for the universal human need for social and corporal contact, which humans share with a number of animals and which may be interpreted as a need to receive and give love. As noted earlier, it has been shown repeatedly that infants deprived of loving human contact—those institutionalized because of being orphaned, those isolated because of being illegitimate or having been born to mothers with mental illness, or those simply badly neglected—do not develop normally, either physically or mentally. Some fail to thrive and die in infancy. Others grow up to be mentally or otherwise damaged (Spitz, 1964). Although the reasons are not clearly understood, it seems that absence of body contact and stimulation in infancy inhibits the development of higher learning functions. In this need, humans are not alone: our close biological cousins, members of the ape family, show a need for similar closeness and body contact. In a well-known experiment involving rhesus monkeys, researchers found that rhesus infants, when separated from their biological mothers, preferred a soft and cuddly “mother” made of terrycloth, even though “she” did not feed them, to a surrogate mother made of wire from which they did receive food. The infants ran to the soft “mother” in times of stress and preferred to spend most of their time near “her” (Harlow, 1966). In the wild, many animals engage in grooming behavior, which is thought to be an expression of bonding and the need to share an activity with others—to interact socially. Articles exploring the importance of touching as studied by recent scholars may be found on the Internet.

一项这样的研究支持了这样一种观点：亲子联结具有生物学基础，并对后代发育有着深远的影响。一个研究小组报告称，在一组小鼠中，那些缺乏一种能够缓解疼痛的基因的小鼠也难以与母亲建立联系。出生后的最初几天，小鼠非常脆弱，与母亲分离时会痛苦地哭喊。显然，求救的哭喊巩固了母子依恋。这种依恋对于生存至关重要，但缺乏这种特定基因的小鼠不会表现出这种依恋行为。“这项研究提供了强有力的证据，表明控制身体疼痛的大脑化学物质也调节着失去和分离带来的心理痛苦”（Carey，2004，D7）。

One such study supports the idea that parent–infant bonding has a biological basis and has a profound impact on later development. A team of researchers reports that in a group of mice, those individuals who lack a gene that allows them to obtain relief from pain also have difficulty establishing bonds with their mothers. In the first few days after birth, mice are very vulnerable, and when separated from their mothers, they cry out in distress. Apparently, cries for help cement mother–child attachment. Such attachment is fundamental to survival, but the mice lacking the specific gene do not engage in the attachment behavior. “The study provides strong evidence that the same brain chemicals that control physical pain also regulate the psychological ache of loss and separation” (Carey, 2004, D7).

人类婴儿生来无助，必须依赖成人才能生存，这一生物学事实也使他们倾向于接受成人的学习，并促成他们之间建立牢固的纽带。最后，基于生物学的学习和使用符号系统的潜能，使得人类接受其所生的文化成为可能。反过来，正如我们在第3章和第4章中所见，语言能力使得文化和社会结构的创造成为可能。

The biological fact that human infants are born helpless and must depend on adults for sheer survival also predisposes them to accept learning from adults and leads to the formation of strong bonds between them. Finally, the biologically based potential for learning and using symbol systems makes it possible and probable that humans accept the culture into which they are born. In turn, the capacity for language is what makes the creation of culture and social structure possible, as we have seen in Chapters 3 and 4.

图 5.2在一个经典实验中，用铁丝“母亲”替代品喂养的恒河猴在受到惊吓或焦虑时会跑去拥抱柔软的毛巾布“母亲”。

IMAGE 5.2 In a classic experiment, rhesus monkeys who were fed by a wire “mother” substitute ran to embrace the soft, terrycloth “mother” when frightened or anxious.

©马丁·罗杰斯

遗传与环境：先天与后天

Heredity and Environment: Nature versus Nurture

除了对人类物种产生这些普遍影响之外，生物学因素也会影响个体，这解释了他们在外貌和性格上的独特性。正如每个人从父母那里继承特定的基因，决定其身高、眼睛是蓝还是棕，头发是直还是卷一样，遗传也决定了许多人格特征，包括智力、社交能力、胆怯程度和基本气质（Herbert，1982；Horn 等人，1976；Juel-Nielson，1980）。其他人格特质，例如领导能力、对冲动的控制、态度和兴趣，在很大程度上取决于一个人的成长环境。遗传和环境这两个因素相互关联，共同作用于人格，以至于无法准确衡量其中任何一个因素的影响。可以肯定的是，一个人的潜能是否得到充分发挥，取决于其社会经验或生活环境。

In addition to having these general effects on humans as a species, biology also affects people as individuals, accounting for some of their uniqueness in appearance and personality. Just as each individual inherits from each parent specific genes that determine whether the individual is short or tall, has blue or brown eyes, and has straight or curly hair, so too heredity determines many personality characteristics, including intelligence, sociability, timidity, and basic temperament (Herbert, 1982; Horn et al., 1976; Juel-Nielson, 1980). Other personality traits, such as leadership abilities, control of impulses, attitudes, and interests, depend to a much greater extent on the environment in which a person is raised. These two factors, heredity and environment, are so interrelated as they act on the personality that it is impossible to measure exactly the influence of either. All that can be said with certainty is that whether a person’s full potential is developed depends on that person’s social experience or the environment in which life is spent.

社会学家们一直在思考，为什么拥有 50% 相同基因的兄弟姐妹有时会如此不同。两位人类发展学教授在他们的著作《各自生活：兄弟姐妹为何如此不同》中指出，虽然兄弟姐妹拥有 50% 相同的基因，但他们在基因上也有 50% 的不同。通过性格、态度、信仰和气质测试来衡量，这些差异解释了为什么尽管拥有相同的父母、社会阶层和大多数日常经历，每个人对相同环境的感知却不同。这些特殊的反应塑造了不同的性格。一个天生害羞的孩子，面对交际花般的母亲和外向的姐妹时，他们的反应是不同的。这项研究报告这些作家的性格特征在瑞典、英国和科罗拉多州数千名儿童的研究中得到了重复（Dunn & Plomin, 1990）。然而，针对同卵双胞胎的新研究得出结论，即使他们分开并在不同的环境中长大，他们的性格和行为仍然相似（Segal, 2012）。

Social scientists have pondered the mystery of why siblings, who share 50 percent of their genes, can at times be so dissimilar. Two professors of human development have stated in their book, Separate Lives: Why Siblings Are So Different, that while siblings share 50 percent of their genes, they are also 50 percent different genetically. Those differences, when measured by tests of personality, attitude, belief, and temperament, explain why the same environment is perceived differently by each, despite sharing the same parents, social class, and most daily experiences. These idiosyncratic responses mold characters in different directions. A child who is genetically shy reacts differently to having a social butterfly for a mother than his or her outgoing sister. The research reported by these writers has been replicated in studies of thousands of children in Sweden, England, and Colorado (Dunn & Plomin, 1990). However, new studies of identical twins conclude that they are similar in personality and behavior even when they are separated and raised in different environments (Segal, 2012).

生物遗传也以另一种方式决定着性格。人们对某些身体特征的反应各不相同——有些人喜欢，有些人则不喜欢——而这种反应会影响一个人的性格。在某些社会中，肥胖的人被认为是美丽的，肥胖会塑造积极的自我形象，进而可能形成自信、开朗、外向的性格。另一方面，在美国，肥胖被视为负面特征。因此，肥胖的人可能缺乏自我形象，在与他人互动时显得孤僻、害羞、不自然，甚至令人不快（尽管这种不快可能是出于自卫）。影响性格的并非生物遗传本身；而是社会和文化对生物遗传特征的解读方式，才对一个人的性格产生影响。

Biological inheritance determines personality in another way also. People respond to certain physical traits in a particular way—favorably to some, negatively to others—and their reaction influences an individual’s personality. A fat person is considered beautiful in some societies and being fat develops a positive self-image, which in turn may result in a self-confident, pleasant, outgoing personality. In the United States, on the other hand, being fat is considered a negative. As a consequence, a fat person may have a low self-image and be withdrawn, shy, self-conscious, and unpleasant in interaction with others (though this unpleasantness may be in self-defense). It is not biological inheritance per se that necessarily affects personality; it is the way a society and culture interpret biologically inherited traits that has a bearing on an individual’s personality.

至于物质环境，虽然性格类型并不像人们曾经认为的那样与气候或地理区域相对应，但可以说，由物质环境造成的某些条件可能会影响一些主要性格特征。

As to the physical environment, although it is not true that personality types correspond to climatic or geographic areas, as was once believed, it is correct to say that certain conditions caused by the physical environment may influence some dominant personality traits.

文化对人格也有一定的影响，因为每个社会都会使其成员经历独特的经历。由于这种社会经历的共性，特定社会的大多数成员都具有特定的人格特质，即所谓的模态人格。人们谈论拉丁情人、嗜酒的爱尔兰人、“强颜欢笑”的英国人、守时的德国人和傲慢的法国人。尽管这些对人格类型的描述已成为刻板印象，对各自的社会造成了损害，但每个社会凭借其主导价值观和信仰，都会发展出一种或多种反映其社会文化的人格类型，这一点毋庸置疑。此外，在一个复杂而多元的社会中，人格类型的数量可能与亚文化的数量一样多；我们谈论“南方美女”和“德克萨斯牛仔”，我们对少数群体抱有刻板印象。然而，归根结底，即使在最循规蹈矩的社会中，人类人格仍然保留着大量的个性。

Culture too has a definite impact on personality, in the sense that every society subjects its members to unique experience. Because of this commonality of social experiences, most members of a specific society share a particular configuration of personality traits, the so-called modal personality. People speak of the Latin lover, the hard-drinking Irish, the “keep-a-stiff-upper-lip” British, the punctual German, and the arrogant French. Although these descriptions of personality types have become stereotypes that do a disservice to their respective societies, it remains true that each society, by virtue of its dominant values and beliefs, develops one or more personality types that reflect the society’s culture. In a complex, heterogeneous society, moreover, there may be as many personality types as there are subcultures; we speak of the “Southern belle” and “Texas cowboys,” and we hold stereotypical portraits of minority groups. Ultimately, however, even in the most conforming of societies, human personality retains a great amount of individuality.

20 世纪 70 年代，受女权运动的影响，一种流行的观点是，婴儿是一张白纸，他们的成长环境教会了他们男性或女性的角色，并影响了他们在其他方面的许多行为。如今，研究人员对此不再那么肯定。研究人员发现，生物学在人格形成中起着非常重要的作用。一项关于“虚拟双胞胎”的研究发现，兄弟姐妹之间的人格特质存在显著差异。“虚拟双胞胎”是指父母从婴儿期收养或同意抚养孩子，然后又生下自己的亲生孩子。该研究的作者得出结论，与异卵双胞胎或同卵双胞胎相比，即使是分开长大的孩子，这类孩子在智力、行为和决策方式方面的共同点也少得多（Kershaw，2008）。虚拟双胞胎在年幼时可能非常相似，并且行为举止与亲生双胞胎相似，但从长远来看，共享的环境不会产生持久的影响。您可以在线阅读关于此主题的有趣文章。

In the 1970s and under the influence of the feminist movement it was popular to state that babies are blank slates and that the environment in which they were raised taught them masculine or feminine roles and affected much of their behavior in other areas. Today, researchers are not so sure. Investigators have found that biology plays a very important role in personality formation. A study of “virtual twins,” that is, children raised in the same home but not biologically related, found that there were marked differences in personality traits between the siblings. (A situation of virtual twins emerges when parents adopt or agree to raise a child from infancy and then have their own biological child.) The author of the study has concluded that such children have much less in common in terms of intelligence, behavior, and decision-making ways than either fraternal or identical twins, even those who have been raised apart (Kershaw, 2008). Virtual twins may be very similar at a young age and act as biological twins do, but in the long term the shared environment does not have a lasting impact. Interesting articles on this subject may be accessed online.

成为人类：社会化

Becoming Human: Socialization

刚出生的婴儿完全没有自我意识。此时的婴儿是一个充满欲望的鲜活体，不断产生渴望得到满足的张力。大多数理论家都认为，婴儿不知道自己是人，甚至不知道自己的存在。事实上，婴儿无法区分自己和周围环境中的其他物体。只有当其他人对待婴儿的方式与对待其他人和物体的方式截然不同时，婴儿才会开始认识到自己是一个独立的个体。这种对自己独特性或分离性的认识，即对自己与他人之间界限的认识，是自我出现的第一步——而这种认识是与他人互动的结果。

A just-born infant is completely unaware of self. The infant at this point is a living bundle of drives that create tensions demanding to be satisfied. Most theorists agree that the infant does not know that it is human or even that it exists. In fact, the creature cannot distinguish between itself and other objects in its environment. It is only when others act toward the infant in a manner that is distinct from the way they act toward other people and objects that the infant begins to recognize that he or she is a separate entity. This awareness of one’s distinctiveness, or separateness, of having borders between oneself and others, is the first step in the emergence of the self—and it occurs as a result of interaction with others.

图 5.3社会化过程，将一个血肉之躯变成一个完整的人，始于重要的人与新生儿的互动。这位母亲和她的宝宝正参与其中。

IMAGE 5.3 The socialization process, which turns bundles of flesh and blood into human beings, begins when a significant other interacts with the newborn. This mother and her baby are engaged in this process.

iStock：© Ceneri

iStock: © Ceneri

反过来，自我的出现是社会化的第一步。社会化是一个教导个体如何成为能够正常运作的人的过程，这些人必须融入多个群体，并成为对社会有用的成员。社会学家认为，独特的个性是在社会化过程中习得的。社会化的视觉示例可在www.google.com找到。

The emergence of self, in turn, is a first step in socialization. Socialization is the process that teaches individuals how to become functioning human beings who must fit into a number of groups and be productive members of a society. Sociologists maintain that a distinctive personality is acquired during the process of socialization. Visual examples of socialization may be found at: www.google.com.

社会化的目标和功能

Goals and Functions of Socialization

从社会的角度来看，社会化有着特定的目标。首先，它教授社会生活的基本知识。其次，它传授在社会中生存所需的重要技能。第三，它向社会新成员灌输一种渴望，让他们为社会认为重要的目标而努力。第四，它教导成员如何履行社会角色，因为只有大多数人这样做，社会体系才能继续存在（参见第四章）。最后，它赋予每个人身份，因为人们需要知道自己是谁，才能采取相应的行动。

From the point of view of society, socialization has specific goals. First, it teaches the basics of life in the society. Second, it transmits skills that are important to survival in the society. Third, it instills in new members of society a desire to work toward some goals that the society considers important. Fourth, it teaches members how to fulfill social roles, for only if a majority of people does so can the social system continue to exist (see Chapter 4). Finally, it provides each individual with an identity because people need to know who they are so they may act accordingly.

社会化过程并不局限于婴儿和儿童。相反，它贯穿一个人的一生，因为总有新的角色需要学习，新的环境需要适应。然而，儿童和成人的社会化过程有所不同。儿童首先必须学会以社会可接受的方式调节自身的生物本能。他们必须学会发展符合其社会目标的价值观。他们必须建立自我形象。而成人则主要在进入劳动力市场或身份地位发生变化时学习新的角色——正如他们结婚或成为父母或祖父母。这两组人的社会化经历也有所不同。儿童倾向于与那些引导他们社会化的人产生情感上的共鸣，这使得社会化过程更加有效。成年人的社会化通常是自愿的，但与社会化者的互动本质上是次要的（参见第四章）：他们与教授或导师打交道，而不是与父母打交道。这种社会化效果较差，更容易受到抵制，而且效果也更肤浅。

The process of socialization is not limited to infants and children. Rather, it continues throughout an individual’s lifetime, as there are always new roles to be learned and new circumstances to which to adjust. However, socialization is different for children and for adults. Children must, first of all, learn how to regulate their biological drives in socially acceptable ways. They must learn to develop values that are in accordance with the aims of their society. They must develop a self-image. Adults, on the other hand, must primarily learn new roles as they enter the labor force or as they change their statuses—as they get married or become parents or grandparents. The experience of socialization is also different for the two groups. Children tend to be emotionally involved with those who socialize them, which makes the process much more effective. Adults are usually socialized voluntarily, but the involvement with their socializers is secondary in nature (see Chapter 4): they deal with professors or supervisors instead of mothers and fathers. This type of socialization is less effective and easier to resist, and the results are more superficial.

社会化既发生在有意识的层面，也发生在无意识的层面。孩子们会刻意学习某些行为、态度和价值观，但其他一些行为、态度和价值观则是在潜意识中习得的，例如从无意中听到的对话或观察到的成年人的行为。潜意识中习得的行为、态度和价值观通常更难摆脱。

Socialization occurs on both a conscious and an unconscious level. Children are deliberately taught certain behaviors, attitudes, and values, but others are picked up unconsciously, from overheard conversations or observed actions of adults. Behavior, attitudes, and values picked up unconsciously are usually much more difficult to shed.

最后，社会化必须考虑到人类所展现的感受或情绪。人类最基本的三种情绪是爱、愤怒和焦虑。

Finally, socialization must take into consideration the feelings or emotions that humans display. Three of the most fundamental of human emotions are love, anger, and anxiety.

正常的成长需要爱。得不到爱的孩子长大后会变得缺乏爱，甚至可能出现心理障碍。拒绝给予孩子爱、尊重和自尊的父母，可能会导致孩子出现严重的适应不良和发育迟缓。

Love is needed to ensure normal development. Unloved children become unloving adults, who may display psychological disturbances. Rejecting parents who deny their children love, respect, and self-esteem risk causing serious maladjustment and stunted development in their children.

愤怒是对剥夺和挫折的反应。社会化的主要目标之一是引导愤怒，使其不至于导致攻击性行为。无法引导孩子愤怒的父母常常会容忍孩子乱发脾气，而这正是孩子试图以破坏性和扰乱性的方式控制他人的方式，他们可能会在孩子的整个青春期都暴露出反社会行为。

Anger is the reaction to deprivation and frustration. One of the chief aims of socialization is to channel anger in such a way that it does not result in aggression. Parents who are unable to direct their children’s anger often put up with temper tantrums, which are the child’s way of attempting to control others in a destructive and disruptive form, and they may leave themselves open to antisocial behavior throughout their offspring’s adolescence.

焦虑与愤怒不同，它并非一种明确、清晰的情绪。它是一种弥漫的心理状态，个体感到不安，但又不知其所以然。从这一点来看，焦虑不同于恐惧，恐惧是对明确威胁的反应。焦虑被认为是现代西方社会的标志；事实上，我们的一些价值观恰恰容易引发焦虑。

Anxiety, unlike anger, is not a definite, sharply defined emotion. Rather, it is a diffuse state of mind in which the individual feels uneasy but is not aware of exactly why. In this respect, anxiety differs from fear, which is a response to a definite threat. Anxiety has been considered the hallmark of modern Western societies; in fact, some of our values are very anxiety producing.

如果社会化要取得成功，就必须控制这些情绪，以免它们对个人或社会造成破坏。社会化过程对社会和个人都有利。社会受益于每一代新生代学会如何作为社会成员行事，而个人也受益于他或她在这种交换中获得自我和独特的个性。

If socialization is to be successful, these emotions must be manipulated so that they do not become destructive to individuals or to society. The process of socialization functions to the advantage of both society and the individual. Society profits because each new generation learns how to behave as a member of it, and the individual profits because he or she acquires a self and a unique personality in the bargain.

社会化理论

Theories of Socialization

自我在社会化过程中究竟如何形成，一直是社会学和心理学领域众多理论探讨的主题。从社会学角度来看，最广为接受的理论是“镜中自我”和符号互动论。另一方面，心理学家则从潜意识、理性、道德和过渡自我的角度来看待人格在成长过程中的习得。

Exactly how the self emerges during socialization has been the subject of numerous theories, both in sociology and in psychology. The most widely accepted theories from the sociological perspective are those of the “looking-glass self” and symbolic interactionism. Psychologists, on the other hand, have viewed the acquisition of personality in the process of becoming human from the perspective of the unconscious, the rational, the moral, and the transitional self.

镜中自我：库利

The Looking-Glass Self: Cooley

查尔斯·霍顿·库利 (Charles Horton Cooley，1864-1929) 和他的同事乔治·赫伯特·米德 (George Herbert Mead，1863-1931) 是两位美国社会学家，他们基于自我是学习过程的结果这一发现，提出了最初的互动理论。当个体与周围人互动时。库利推测，社会定义的自我发展始于生命早期。在与直系亲属以及之后与同龄群体的互动中，成熟的个体逐渐认识到自己与他人的不同，并且由于被爱而得到满足。本质上，他们学习与他人的特定关系，以及他人对他们的感受。每个人都能从他人对自己的反应中感知到他人的看法。库利将这一过程称为“镜中自我”，因为它类似于照镜子，镜子会将他人眼中的自己形象（当然，这些他人指的是整个社会；因此，社会被个体内化）反射回观察者。如果反射的形象是好的（正如社会所认为的那样），这个人就会感到满足。如果反射的形象不好，这个人就会感到羞愧，并对自己感到不满。该理论的更多解释可以在网上找到。

Charles Horton Cooley (1864–1929) and his colleague, George Herbert Mead (1863–1931), were two American sociologists who formulated the original interactionist theories based on the finding that the self is the result of a learning process that occurs when individuals interact with those around them. Cooley speculated that the development of a socially defined self begins in the early stages of life. In interaction with their immediate family and later with peer groups, maturing individuals learn that they are distinct from others and that their needs are satisfied because they are loved. Essentially, they learn how they stand in particular relationships to others and how others feel about them. Each individual senses the opinions of others from their reactions to him or her. Cooley called this process the looking-glass self because it resembles looking into an imaginary mirror that reflects back to the looker his or her image as others see it (the others, of course, are society in general; thus, society is internalized by the individual). If the reflected image is good (as society says it should be), the person is satisfied. If the image is bad, the person feels ashamed and dissatisfied with himself or herself. Further explanations of the theory may be found online.

社会中的自我：米德

The Self in Society: Mead

社会互动，尤其是符号互动，是自我和人格诞生的基础，这一理论在乔治·赫伯特·米德的著作中得到了进一步发展。符号互动论包含许多复杂的思想，但它们都围绕着心智（一个人观念的抽象整体）、自我（个体的自我概念或自我意识）和社会之间的相互关系展开。

The theory that social, and particularly symbolic, interaction is the basis of the emergence of self and personality was further developed in the work of George Herbert Mead. Many complex ideas are embodied in symbolic interactionism, but they all center on the interrelationship of mind (the abstract whole of a person’s ideas), self (the individual’s self-concept or self-awareness), and society.

米德认为，符号互动是人格形成的首要前提。这种互动最初是非语言的——婴儿哭闹，父母回应。这为通过语言进行更有意义的交流奠定了基础。一旦有了语言，思想和自我就会出现，行动就可以被观念取代。思想和自我是社会产物，因为个人通过语言将周围人的态度内化或转化为自己的态度。因此，个人能够以思考他人的方式思考自己：他们成为自己的客体。他们开始意识到“我”、“我”和“你”之间的区别，并开始像对待他人一样对待自己。这使他们能够学会控制自己的行为，并将其引导到有意义的渠道。人们之所以会自我批评，是因为其他人批评他们。就这样，社会开始控制个人。

Symbolic interaction is the first prerequisite for personality formation, according to Mead. Such interaction is at first nonverbal—the infant cries, and the parents respond to it. This sets the stage for more meaningful communication through language. Once language is present, mind and self can emerge, and actions can be replaced by ideas. Mind and self are social products because individuals internalize, or make their own, the attitudes of those around them through language. Thus, individuals become capable of thinking about themselves in the same way as they think about others: they become objects to themselves. They begin to realize the distinctions among I, me, and you, and they begin to treat themselves as they treat others. This enables them to learn to control their own behavior and direct it into meaningful channels. People become self-critical because others are critical of them. In this manner, society begins to control individuals.

人类之所以能够拥有这种独有的品质，即能够跳出自我，从他人的角度看待自己，是因为人类能够扮演各种角色。角色扮演是儿童在游戏过程中学习的。起初，儿童扮演的其他人是他们的家庭成员和同龄人，或者用米德的话来说，是重要他人。后来，个人学会扮演整个社会的角色，或者用米德的话来说，考虑到广义的他人。当孩子在考虑某种行为时，不再想“妈妈说我不能这样做”，而是想“这样做是不对的”，那么从扮演重要他人的角色到扮演广义他人的角色的转变就完成了。此时，孩子已经将社会的民俗、道德、价值观和其他规范内化——成为自己的一部分，从而获得了良知。

This uniquely human quality of being able to get outside oneself and view oneself as others do is possible because of the human ability to take on various roles. Role-playing is learned by children in the course of play. At first, the others whose roles children take are members of their family and of their peer group or, as Mead called them, the significant others. Later, individuals learn to take the role of society as a whole or, in Mead’s terms, to take into account the generalized other. The change from taking the role of significant others to taking the role of the generalized other is complete when the child, in considering some action, no longer thinks, “Mommy says I must not do it,” but rather, “It’s not right to do it.” At that point, the child has internalized—made a part of herself or himself—the folkways, mores, values, and other norms of society, thereby acquiring a conscience.

虽然通过内化他人态度而出现的自我主要具有社会性，但它还包含另一个更具创造性和自发性的元素。米德将这个元素称为“我”，并假定它先于社会元素出现，而他将社会元素称为“我”。“我”是自我中主观的、行动的、自然的、不受抑制的部分。相反，“我”则是文化和社会期望的客观代表，这些期望已被个人融入人格。每个人的“我”都是独一无二的；“我”是传统的，因为它是与他人共享的。在多个网站上可以找到米德著作的摘要和分析。更多信息和解读请访问：www.google.com。

Although the self that emerges as a result of internalizing the attitudes of others is principally of a social nature, it has another more creative and spontaneous element. Mead called this element the I, positing that it emerged before the social element, which he called the me. The I is the subjective, acting, natural, uninhibited part of the self. The me, in contrast, is the objective representative of cultural and societal expectations that have been made part of personality by the individual. The I is unique to each individual; the me is conventional in that it is shared with others. Summaries and analyses of Mead’s work may be found on several Web sites. Much more information and interpretation is available at: www.google.com.

自我与潜意识：弗洛伊德

The Self and the Unconscious: Freud

最著名的人格理论家——被广泛认为是现代心理学的奠基人——是西格蒙德·弗洛伊德（1856-1939）。弗洛伊德试图从生物驱动力的角度解释人格结构。他和他的一些追随者所信奉的理论被称为心理动力学理论，对“本能”一词进行了复杂的定义。他们还假设文化和社会对人类行为有着明确的影响。

The best-known personality theorist—and widely regarded as the founder of modern psychology—is Sigmund Freud (1856–1939). Freud attempted to explain the structure of personality in the light of biological drives. The theories that he and some of his followers espoused, called psychodynamic theories, used a sophisticated definition of the word instinct. They also assumed that culture and society had a definite effect on human behavior.

弗洛伊德的精神分析理论预设了潜意识和意识过程的存在。潜意识过程源于对痛苦经历的压抑，并在梦境或分析中显现。弗洛伊德还推测了力比多的存在，力比多是一种追求快乐的本能驱动力，其在人格中的代表是本我。根据弗洛伊德的说法，社会学习导致了自我的发展，自我是人格的一部分，其功能是抑制本我原始的、非理性的行为。最后，超我是内化了个人文化价值观和规范的结果。超我在潜意识中运作，而自我则在意识层面运作。

Freud’s psychoanalytic theory presupposed the existence of unconscious, as well as conscious, processes. The unconscious processes resulted from repression of painful experiences and revealed themselves in dreams or in analysis. Freud also speculated about the existence of the libido, an instinctual drive toward pleasure whose representative within the personality was the id. Social learning, according to Freud, caused the development of the ego, a part of the personality that functioned to restrain the primitive, irrational actions of the id. Finally, the superego emerged as a result of having internalized the values and norms of one’s culture. The superego operated subconsciously, whereas the ego functioned on a conscious level.

弗洛伊德还坚持认为，人格发展遵循从婴儿期到青春期的固定数量的性心理阶段。每个阶段都代表了个体在生理成熟不同时期试图满足性欲的尝试。自我和超我能否成功地将本我的能量引导到社会认可的活动中，取决于个体在每个阶段解决冲突的能力。这些阶段如下：

Freud also insisted that personality developed according to a fixed number of psychosexual stages in the period from infancy to adolescence. Each stage represented the individual’s attempts to gratify the libido at different periods of physical maturation. The success of the ego and superego in channeling the energy of the id into socially approved activities depended on how well an individual has resolved the conflicts at every stage. The stages are:

1. 口腔，在生命的第一年

1. Oral, in the first year of life

2. 肛门，第二年和第三年

2. Anal, in the second and third years

3. 性欲或俄狄浦斯情结，发生在三至五年间

3. Phallic, or Oedipal, in the third through fifth years

4. 潜伏期，从五岁到青春期开始

4. Latency, from age five to the beginning of adolescence

5. 青春期至成年期的生殖器

5. Genital, during puberty and into adulthood

弗洛伊德进一步认为，人格障碍——即被社会贴上异常或偏差标签的行为——是由于本我、自我和超我之间缺乏和谐造成的。这种不和谐产生了焦虑，而焦虑又导致了防御机制的产生。防御机制是个人用来抵御焦虑的常见的无意识行为。其中一些最常见的包括压抑、退化、投射和置换。这些机制向个人隐藏了他们的真实动机和目标，从而保护他们免于自尊的丧失。然而，过度依赖防御机制会导致个人表现出不同程度的紊乱行为。正是这种过度依赖以及其他形式的“异常”行为，弗洛伊德开始用他称之为精神分析的疗法来治疗，这种疗法旨在深入一个人的潜意识，以揭示特定行为的原因。

Freud further maintained that dysfunctions of personality—that is, behaviors that society labeled abnormal or deviant—were caused by lack of harmony between the id, the ego, and the superego. The disharmony created anxiety, and anxiety in turn led to the development of defense mechanisms. Defense mechanisms are the frequently unconscious actions that individuals use to ward off anxiety. Some of the more common ones include repression, regression, projection, and displacement. These mechanisms hide from individuals their real motives and goals and thus protect them from loss of self-esteem. However, overreliance on defense mechanisms can cause individuals to show disturbed behavior of varying intensity. It is such overreliance, as well as other forms of “abnormal” behavior, that Freud set out to cure with the therapy he called psychoanalysis, which is designed to delve into a person’s subconscious to uncover causes of specific behaviors.

弗洛伊德的影响远远超出了心理学领域，他的理论为我们提供了关于人类人格的宝贵见解。然而，如今大多数行为科学家对精神分析理论的接受度并不高。最严厉的批评涉及弗洛伊德对生命早期阶段的重视。他认为，人格在五岁时就已定型，如果不进行精神分析，很难改变。而当代理论则倾向于强调，人格发展并非在婴儿期、童年期甚至青春期之后就停止，相反，它是一个永无止境的过程，会随着不断变化的需求而不断变化。

Freud’s influence has extended far beyond the field of psychology, and his theories have given us valuable insights into human personality. Today, however, psychoanalytic theory is accepted by most behavioral scientists only with reservations. The most serious criticism involves the importance Freud assigned to the early years of life. He maintained that personality was fixed by the age of five and difficult to change without psychoanalysis. More contemporary theories tend to stress that personality development does not stop after infancy, childhood, or even puberty but, on the contrary, is a never-ending process, changing to respond to changing demands.

几乎有成千上万的网站与西格蒙德·弗洛伊德本人及其作为“精神分析之父”的著作有关。许多网站都包含许多指向性心理阶段也是如此。网上有很多关于弗洛伊德的讨论、讲座或评论的视频，其中一些非常有趣。

Virtually thousands of Web sites deal with Sigmund Freud the person and Freud’s works as the “father of psychoanalysis.” Many contain a number of links to the psychosexual stages as well. A number of videos are available online that are discussions of, lectures about, or critiques of Freud, some of which are extremely interesting.

过渡自我：埃里克森

The Transitional Self: Erikson

弗洛伊德思想催生了众多理论，这些理论扩展并修改了其一些基本假设。在新弗洛伊德学派中，埃里克·埃里克森（1968）认为，人类人格发展分为八个社会心理阶段，与弗洛伊德的性心理阶段非常相似。然而，埃里克森的阶段理论涵盖了个体的整个生命历程，因此与当代思想更为契合。

Freudian thought has given origin to numerous theories that have enlarged and modified some of its basic assumptions. Among the neo-Freudians, Erik Erikson (1968) contended that human personality development takes place in eight psychosocial stages that closely parallel Freud’s psychosexual stages. Erikson’s stages, however, encompass the entire life of the individual and, thus, are more compatible with contemporary thought.

埃里克森认为，在八个发展阶段中的每一个阶段，个体都会面临身份认同危机，自我必须尝试重新定义。（埃里克森的八个阶段分别是婴儿期、幼儿期、游戏期、学龄期、青少年期、青年期、成年期或中年期以及成熟期。）如果个体成功地重新定义自我，即克服了生命周期新阶段带来的挑战，他或她就能进入下一个阶段，从而不断成熟。如果个体无法满足特定阶段的新需求，就可能出现心理问题，阻碍其进入下一个阶段，最终达到更高的成熟度。在青春期，个体面临着快速的身体发育和性成熟，必须学习扮演与未来职业以及正常性行为相关的新角色。处于这个阶段的年轻人容易受到角色混乱和缺乏明确身份认同的困扰。埃里克森认为，这就是为什么年轻人容易过度认同小圈子和流行文化，也正是他们经常“坠入爱河”的原因。他们所谓的“爱”实际上是一种将自身形象投射到他人身上，并看到他人的反馈，从而得到澄清（Erikson，1963，262）。成功的年轻人最终会了解自己是谁，以及自己想要做什么。那些没有解决这些问题的人会一直处于迷茫之中，不知道自己是什么样的人，也不知道自己应该在生活中做什么。因此，埃里克森认为，社会化永无止境，自我必须不断应对新的危机，学习新的角色，直至死亡。

Erikson maintained that at each of the eight developmental stages, the individual is faced with an identity crisis in which the self must try to redefine itself. (Erikson’s eight stages are infancy, early childhood, play age, school age, adolescence, young adulthood, adulthood or middle age, and maturity.) If the individual is successful in redefining the self—that is, if the challenges presented by a new stage of the life cycle are conquered—he or she is able to progress to the next stage, thereby achieving increasing maturity. If the individual is unable to satisfy the new demands of a particular stage, psychological problems may develop, preventing the person from progressing to the next stage and from reaching a higher level of maturity. In adolescence, the individual is faced with rapid physical growth and sexual maturity and must learn to fill new roles related to a future occupation, as well as to a functioning sexuality. Young people at this stage are plagued by role confusion and absence of a definite identity. Erikson says that this is why young people tend to overidentify with cliques and popular culture and why they “fall in love” so often. What they call and perceive as “love” for another person is in reality an attempt to project their own image on another and see it reflected back and thus clarified (Erikson, 1963, 262). Successful young individuals eventually come to know who they are and what they want to do. Those who have not resolved these questions remain at a loss, not knowing what kind of person they are or what they should do in life. Socialization, then, never ends, according to Erikson, and the self must constantly meet new crises and learn new roles until death.

发展理论：皮亚杰

Developmental Theories: Piaget

发展主义，其主要倡导者是已故瑞士心理学家让·皮亚杰（1896-1980），强调个体根据道德价值观和智力技能对情境进行解读的重要性。然而，智力和道德发展只能分阶段进行。反过来，这些阶段的发展也只能根据个体的身体成熟度而定。皮亚杰坚持认为，三岁的孩子无法理解速度的概念，无论多少条件反射都无法让他们理解。

Developmentalism, whose chief proponent was the late Swiss psychologist Jean Piaget (1896–1980), stresses the importance of individual interpretations of situations according to moral values and intellectual skills. Intellectual and moral development can proceed only in stages, however. In turn, these stages can develop only according to an individual’s physical maturation. Piaget insisted that a child of three could not understand the concept of speed, and no amount of conditioning would make the child understand it.

皮亚杰将认知发展阶段定义为：

Piaget designated the stages of cognitive development as:

1. 感觉运动阶段，从出生到两岁，儿童无法理解社会规则

1. The sensory-motor stage, from birth to two years, in which children cannot understand societal rules

2. 前运算阶段，从两岁到七岁，在这个阶段，孩子学习规则，但不会质疑规则，尽管他们可能会违反规则

2. The preoperational stage, from two to seven years, in which rules are learned but not questioned, although they may be disobeyed

3. 具体运算阶段，从7岁到11岁，在此阶段，孩子掌握数字、重量、因果关系等概念，以及日常生活所需的其他认知技能。

3. The concrete-operational stage, from age seven to 11, in the course of which such concepts as numbers, weight, cause and effect, and other cognitive skills needed for everyday life are mastered

4. 形式运算阶段，从 11 岁到 16 岁，理性和抽象思维能力得到充分发展，教育成为探索心智的最佳载体

4. The formal-operational stage, from age 11 to 16, in which the capacity for rational and abstract thinking is fully developed and education becomes the best vehicle for exploring the mind

发展主义者还断言，人类本质上是活跃的有机体，只要达到特定的生理成熟阶段，就能够判断、解释、定义和创造自身的行为。强迫一个五岁的孩子进行抽象推理是徒劳的，但十四五岁的青少年却可以达到与成年人相同的程度。

Developmentalists also assert that people are essentially active organisms who are capable of judging, interpreting, defining, and creating their own behavior, provided they have reached a specific stage of physical maturation. It will prove fruitless to force a child of five to reason abstractly, but an adolescent of 14 or 15 can do so to the same extent as an older adult.

道德发展：科尔伯格

Moral Development: Kohlberg

美国心理学家劳伦斯·科尔伯格（1963年，1981年）扩展了皮亚杰关于儿童智力发展分阶段的思想，并提出儿童道德发展和是非观的发展过程与之类似。儿童的道德感源于自身，而非社会强加。作者总结道，尽管不同社会对是非观的具体规定有所不同，但每个社会都教授相同的基本价值观。道德似乎是一种文化共性：尽管某些食物在一个社会可能被禁止，而在另一个社会却被允许，但诸如关心他人（同理心）以及追求平等互惠（正义）等价值观似乎存在于所有社会中。由于个体的成熟度不同，每个人的道德价值体系并非都发展得相同。

Expanding on Piaget’s ideas that children’s intellectual development proceeds in stages, American psychologist Lawrence Kohlberg (1963, 1981) theorized that children’s moral development and sense of what is right and wrong proceeds similarly. Children’s sense of morality develops from within themselves rather than being superimposed by society. The author concluded that even though societies differ on the specifics of what is considered right and wrong, the same basic values are taught in every society. Morality seems to be a cultural universal: although certain foods may be forbidden in one society but allowed in another, such values as concern for others (empathy) and desire for equality and reciprocity (justice) appear to exist in all societies. Individuals do not all have equally developed systems of moral values because they are at different levels of maturity.

道德发展分为三个阶段，每个阶段都比前一个阶段复杂得多。第一个阶段是前习俗道德，幼儿根据对权威的服从和不服从来定义是非对错。第二个阶段是习俗道德，青少年的道德观基于社会认可的价值观。一些（但并非所有）成年人会达到后习俗道德阶段，他们承认存在相互冲突的价值观，并尝试以理性的方式或根据他们所认为的更高原则来解决冲突。处于这一阶段的人如果认为法律不公正，可能会考虑违法。所有儿童在成长过程中都会达到每个阶段，但并非所有儿童都能吸收这些阶段，因此并非所有儿童都能以同等的素质进入下一个阶段。

There are three levels of moral development, each more complex than the preceding. The first is preconventional morality in which young children define right and wrong in terms of obedience and disobedience to authority. The second is a conventional level of development in which adolescents adopt a morality based on socially approved values. Some, but not all, adults reach a postconventional level, in which the existence of conflicting values is acknowledged and the attempt is made to resolve the conflict in a rational manner or according to what are perceived as higher principles. An individual at this level may consider breaking the law if the law is perceived as unjust. All children reach every level as they mature, but not all children absorb it, so not all go on to the next level equally equipped.

对科尔伯格理论的批评涉及这样一个事实：个人可能明知某种行为是错误的，但仍然会去犯。科尔伯格还关注男性和男孩对伦理和正义的认知方式；如果他的研究也涵盖女性和女孩，他或许会得出不同的结论。最后，科尔伯格认为其理论适用于所有文化的假设也受到了质疑；尤其是后习俗阶段，人们认为它更多地体现在自由、技术先进的民主社会，而非威权主义、农业社会或非民主社会（Gilligan, 1982; Snarey, 1987）。所有你想了解的关于人格发展的信息，都可以通过在线链接获取。

Criticism of Kohlberg involves the fact that individuals may recognize an act as wrong, but still commit it. Kohlberg also focused on the way men and boys perceive ethics and justice; had he included women and girls, he might have obtained a different view. And finally, Kohlberg’s assumption that his theory is applicable to all cultures has been questioned; in particular, the postconventional stage is thought to be more characteristic of liberal, technologically advanced, democratic societies than of authoritarian, agrarian, or undemocratic ones (Gilligan, 1982; Snarey, 1987). Everything you ever wanted to know about personality development is available in links online.

社会化推动者

Agents of Socialization

特定的人、团体和组织主要负责将一束原始的组织和神经转变成一个有功能的人，熟悉社会方式，掌握足够的技能以在社会中生存，有时甚至茁壮成长和出类拔萃，并具有其他人熟悉的特征和特性，但仍然具有明显的独特性。

Specific people, groups, and organizations are chiefly responsible for transforming a raw bundle of tissues and nerves into a functioning human being, knowledgeable in the ways of society, competent in enough skills to survive and sometimes to thrive and excel in the society, and with features and traits familiar to others, yet still recognizably unique.

家庭

The Family

最重要的社会化者是抚养新生儿的人。除非特殊情况，在大多数社会中，这些人通常是婴儿的父母。因此，大多数社会化发生在家庭内部。

The foremost socializers are the people who raise newborns. Barring unusual circumstances, in most societies these people are generally the infant’s parents. Thus, most socialization occurs within the family.

家庭在社会化过程中的作用至关重要。首先，家庭在儿童发展的最初阶段，也就是儿童接受能力最强的阶段，对其产生影响。家庭满足（或应该满足）儿童的所有需求，包括生理和情感需求。由于大多数人从婴儿期到成年期都保持着家庭关系，因此家庭的影响持续不断。家庭也是一个重要的群体，其个人和情感纽带有助于有效的社会化。最终，当婴儿出生在特定的种族群体、宗教和社会阶层时，家庭赋予了新生儿第一个身份。

The role of the family in socialization is crucial. First, the family influences the child in its earliest stage of development, when the child is most receptive. It meets (or should meet) all the child’s needs, both physical and emotional. It is a constant influence because most people maintain family relationships from infancy into adulthood. The family is also a primary group, and the personal and emotional ties are conducive to effective socialization. The family, finally, provides the new individual with his or her first identity, as the infant is born into a particular racial group, religion, and social class.

孩子并非父母手中的黏土。事实上，社会化是相互的。婴儿的外表和行为方式会影响父母对他们的感受和行为。即使是最无助的婴儿，也能通过哭闹来开启互动。那些对哭闹做出积极回应的婴儿——被抱起、拥抱和安抚——与那些哭闹被忽视的婴儿相比，他们对世界及其自身地位的看法截然不同。

Children are not mere clay in parental hands. Socialization, in fact, is reciprocal. The way infants look and act has a bearing on how parents feel and act toward them. And even the most helpless infant can initiate interaction simply by crying. Infants who obtain a positive response to the crying—who are picked up, cuddled, and comforted—receive a different view of the world and their position in it than infants whose crying is ignored.

每个家庭的父母行为各不相同。研究表明，父母行为会因社会阶层，甚至种族和民族的不同而有所差异（Harrison 等，1990；Kohn，1977；Starrels，1992）。在非裔美国人家庭和加勒比海地区的非裔移民中，抚养子女似乎是更多亲属的责任。由于家庭性质的变化，如今许多孩子由单亲家庭抚养，或在由前妻或同性父母抚养的家庭中抚养。因此，他们的社会化经历也各不相同。

Parental behavior varies in each family. It also has been shown to vary according to social class and even to race and ethnicity (Harrison et al., 1990; Kohn, 1977; Starrels, 1992). In African-American families and among Afro-Caribbean immigrants, child rearing appears to be the responsibility of a wider range of relatives. Because of the changing nature of the family, today many children are being reared by single parents or in households that combine children from previous marriages or by same-sex parents. As a result, socialization experiences are varied.

学校

The School

学校是继家庭之后，社会化进程中强有力的推动者。它是第一个承担儿童社会化任务的正式机构，也是儿童与更广阔世界的第一个纽带。在学校，孩子们不仅要学习社会所需的基本技能，还要学习如何在竞争环境中成功应对的隐性课程。美国学校经常成为争议的温床（学校祈祷、标准、教师表现、共同核心等），可能是因为它们被认为是重要的社会化媒介。

Second to the family, the school acts as a powerful agent of socialization. It is the first formal agency charged with the task of socializing children and represents the first link to the wider world. In school, children must learn not only basic skills needed in the society but also the hidden curriculum of how to cope successfully in a competitive environment. American schools have often been hotbeds of controversy (school prayer, standards, teacher performance, common core, etc.), probably because they are recognized as being such important socializing agents.

图 5.4父亲在孩子的社会化过程中扮演着非常重要的角色。

IMAGE 5.4 The father plays a very important role in socializing a child.

iStock：© Spotmatik

iStock: © Spotmatik

学校也充当着劳动力市场的社会化媒介。在这一职能中，学校被期望教授礼仪、尊重权威以及培养基本的社交技能。同时，学校也强调某些文化价值观（例如竞争），并传播学生所属社会优于其他社会的观念。这是学校在基本技能之外传授的隐性课程。当然，学校如何履行其职责已成为一个争议点，本文稍后将对此进行讨论。

Schools are also used as socialization agents for the labor market. In that function, they are expected to teach manners, respect for authority, and the development of basic social skills. At the same time, schools manage to stress certain cultural values (such as competition) and disseminate the idea that the society of which students are a part is superior to others. This is the hidden curriculum that schools impart above and beyond basic skills. Of course, how well schools perform any of their responsibilities has become a controversial point, discussed later in the text.

日托中心

Day Care Centers

许多孩子比过去更早地熟悉了学校类型。随着越来越多的女性加入劳动力大军，日托中心已成为必需品。这类中心的数量远远无法满足需求，也并非没有争议。许多美国人反对它们，理由是孩子的母亲才是孩子最好的社交媒介。但这并非总是如此：事实上，当许多女性将生活重心放在家庭以外的其他事物上时，她们会成为更好的母亲。研究还表明，当来自稳定家庭的孩子进入高质量的日托中心（其中，婴儿的教职工与儿童的比例为1:3，幼儿的比例不超过1:6）时，他们的智力发展既不会受到太大的促进，也不会受到太大的阻碍，尽管他们与他人互动的能力会有所提高（Belsky & Steinberg，1978）。然而，美国一项规模最大的儿童保育长期研究的结果显示，那些将大部分时间（每周 30 小时）花在托儿所的儿童，出现行为问题（攻击性、不服从和反抗）的可能性是主要由母亲照顾的儿童的三倍 (Stolberg, 2001, A18)。其他研究人员得出了不同的结论。美国国家儿童健康和人类发展研究所正在进行一项关于早期儿童保育和青少年发展的研究。该研究所的逐年研究结果汇总可在其网站上查阅：www.nichd.nih.gov/research/supported/seccyd.cfm。然而，该研究所关于儿童保育的研究结果经常被政治化。从保守派的观点来看，这些研究结果会歪曲为日托对儿童有害。从更自由的角度来看，日托可以让母亲们去追求比单纯地做母亲和管家更有成就感的职业，最重要的是，在大多数美国家庭中，母亲工作是经济上的需要，特别是在母亲是主要或唯一收入来源的家庭中。

Many children are becoming acquainted with a type of school much earlier than children did in the past. Day care centers have become necessities as increasing numbers of women have joined the workforce. Such centers are by no means sufficiently numerous to meet demand, nor are they free from controversy. Many Americans are against them on the basis that a child’s own mother is the best socializing agent for the child. That has not always been found to be true: many women are, in fact, better mothers when their lives are focused on things other than house and family exclusively. Research has also shown that when children from stable families attend high-quality day care centers (in which the ratio of staff to children is one to three for infants and no higher than one to six for toddlers), their intellectual development is neither helped nor hindered to any great extent, though their ability to interact with others is increased (Belsky & Steinberg, 1978). However, in one of the largest long-term studies of child care in the United States, the results indicated that children who spend most of their time (30 hours per week) in child care are three times as likely to exhibit behavioral problems—aggressiveness, disobedience, and defiance—as opposed to those who were cared for primarily by their mothers (Stolberg, 2001, A18). Other researchers have come to different conclusions. The National Institute of Child Health and Human Development is carrying on an ongoing study of early child care and youth development. Its findings, summarized year by year, may be found on their Web site: www.nichd.nih.gov/research/supported/seccyd.cfm. Its findings regarding child care, however, are frequently politicized. From a conservative point of view, findings would be skewed to show that day care is detrimental to children. From a more liberal point of view, day care allows mothers to pursue careers that might be considered more fulfilling than being strictly mothers and housekeepers, and most important, in most American families, it is a financial necessity for a mother to work, especially in homes where the mother is the chief, or the only, wage earner.

同侪群体

The Peer Group

在美国社会中，学龄儿童与朋友相处的时间比与父母相处的时间还多，同龄群体的重要性日益凸显。同龄群体中的社会化是在非正式和无意识的情况下进行的，也就是说，这种社会化最为有效。此外，同龄群体中的活动往往纯粹是为了娱乐，这与学校和家庭中的活动不同，后者既需要工作，也需要娱乐。加入同龄群体是自愿的，这也与家庭或学校的情况不同，成员之间平等相待，不必向上级汇报。所有这些因素都解释了同龄群体的吸引力及其对个人的巨大影响。最后，同龄群体提供了一种认同感：青少年尤其会向同龄人学习，了解自己是什么样的人。

Of increasing importance in American society, where school-age children spend more time with their friends than they do with their parents, is the peer group. Socialization within the peer group takes place informally and unintentionally, that is, most effectively. In addition, activities within the peer group tend to be strictly pleasurable, unlike those in school and in the family, which involve work as well as fun. Membership is voluntary, again unlike the situation in the family or school, and members treat each other as equals without having to answer to those higher in authority. All these factors explain the attraction of the peer group and its great influence on the individual. Finally, the peer group offers a source of identification: adolescents especially turn to their peers to learn what kinds of people they are.

一些研究表明，同龄人对年轻人的性格塑造影响最大（Harris，1999）。我们最终会成为什么样的人，取决于两个因素（1）我们的基因遗传；（2）我们在家庭之外交往的同龄人类型。许多综合性研究，尤其是行为遗传学家的研究，表明人们性格差异中约50%可归因于基因，这意味着另外50%则源于环境。另一项大规模且严谨的研究发现，对被领养儿童及其养父母进行数年的密切跟踪，并进行广泛的性格和智力测试后，被领养儿童与养父母几乎没有共同之处。他们彼此之间的相似性，不亚于将孩子与街上的陌生人进行比较（Gladwell，1998，57）。另一方面，一个由250名父母及其亲生子女组成的对照组，在接受相同测试后，结果显示，这些孩子在智力和其他性格方面与父母相当接近。这项特别的研究得出结论，我们与父母相似的唯一原因是我们拥有相同的基因，而如果没有基因遗传，就不存在相似性。许多网站上都探讨了关于同龄群体、青少年亚文化的本质以及它如何促成小团体（甚至帮派）形成的额外阅读材料。改编自《教育百科全书》的阅读材料也广泛探讨了青少年同龄群体，可以在网上找到。其他阅读材料包括：www.education.com/reference/article/peer-group-influence。

Peers, according to some research, are the most influential shapers of a young person’s personality (Harris, 1999). The type of person we become is determined by two things: (1) our genetic inheritance and (2) the kinds of peers with whom we associate outside the home. A number of comprehensive studies, particularly those by behavioral geneticists, have shown that about 50 percent of the personality differences among people is attributable to genes, which means that the other 50 percent is due to one’s environment. Another large and rigorous study found that when adopted children and their adoptive parents were closely followed for several years and given extensive personality and intelligence tests, the adopted children had very little in common with the adoptive parents. They were no more similar to one another than if the children had been compared with strangers off the street (Gladwell, 1998, 57). A control group of 250 parents and their biological children, subjected to the same tests, on the other hand, showed that the children were fairly close to their parents in intellectual ability and other aspects of personality. This particular study concluded that the only reason we resemble our parents is that we share their genes, and there is no similarity when there is no genetic inheritance. Additional readings about peer groups, about the nature of the adolescent subculture, and how it may contribute to the creation of cliques (and even gangs) are discussed on a number of Web sites. A reading adapted from the Education Encyclopedia also deals extensively with adolescent peer groups and may be found online. Other readings include: www.education.com/reference/article/peer-group-influence.

先天与后天

Nature versus Nurture

前面讨论过的“先天与后天”问题，只能通过坚持人格由两者共同构成（尽管两者的量级尚不清楚）来回答。后天的影响不仅体现在家庭，也体现在邻里、学校以及孩子成长过程中与之交往的人身上。受到关爱的孩子会成为友善待人的好人，而在家中遭受殴打和虐待的孩子则会成为残忍无情、令人厌恶的人。但这些影响究竟源于父母的行为，还是源于孩子的性情，仍有待观察。父母可能乐于拥抱乖巧可爱的孩子，而难以对脾气暴躁、经常行为不端的孩子表达爱意。“孩子的性情会影响父母的教养方式”这一命题也已被行为遗传学家彻底验证。与所有预测相反，一项研究表明，尽管父母的差异化对待与青少年适应的差异有关，但父母的消极态度并不会导致孩子出现消极的适应：它仅仅反映了这种适应（Gladwell，1998，58）。父母充满敌意，是因为他们的孩子充满敌意。

The “nature versus nurture” question discussed earlier can only be answered by maintaining that personality consists of both, though in unknown quantities. Nurture is not only a function of the home, but of the neighborhood, the school, and the people with whom the growing child associates. Children who are treated with affection turn out to be nice people who treat others with kindness, and those who are beaten and mistreated at home turn out to be people who are cruel and unpleasant to others. But it remains to be seen whether the reason for these effects is the behavior of the parents, or the temperament of the child. It is possible that a parent feels like hugging a child who is well behaved and pleasant, but finds it more difficult to be affectionate with one who is nasty and frequently misbehaves. This proposition—that a child’s temperament evokes the style of parenting—has also been thoroughly tested by behavioral geneticists. Contrary to all predictions, one study showed that although differential parental treatment relates to differences in adolescent adjustment, the negativity of parents does not cause the negative adjustment in their children: it merely reflects it (Gladwell, 1998, 58). Parents are hostile because their children are hostile.

孩子在外部世界与同龄人相处时的行为与在家中的行为有所不同。因此，尽管父母对孩子的行为会影响孩子在父母面前或在家中的行为，但这种行为并不一定会延续到家庭之外。一位社会学家进行了一项研究，要求一些学生撰写一篇自传，描述他们生活中最令他们不开心的事件。研究结果表明，同龄人对他们的伤害远大于父母对他们的伤害。父母对我们所做的一切都会被同龄人对我们所做的所掩盖（Gladwell，1998，59）。

Children behave differently among their peers, in the outside world, than they do at home. Therefore, although a parent’s behavior toward a child influences how the child behaves in the presence of the parent, or in the context of home, this behavior does not necessarily carry over outside the home. A study by a sociologist who asked a number of students to write an autobiographical sketch describing the event in their lives that made them most unhappy showed that what a peer did to them was much more hurtful than what parents did. Whatever our parents do to us is overshadowed by what our peers do to us (Gladwell, 1998, 59).

哈佛大学心理学家杰罗姆·卡根发起的另一项研究对婴儿进行了长达20年的跟踪调查，也表明天性与性格息息相关。这项研究发现，那些对环境变化、新面孔、新物体和新声音反应平静的婴儿，成年后也会保持平静。而那些因新奇事物而感到不安，挥舞双腿、弓背和哭闹的婴儿，长大后会变得焦虑不安。无论他们的生活条件多么优越，他们总是在为厄运做准备。卡根教授认为，15%到20%的新生儿天生容易焦虑，也就是说，他们天生就有焦虑的倾向（Marantz-Henig，2009）。有些人焦虑可以被“良性”环境所淹没或缓解，但对另一些人来说，它始终潜藏于表面之下。在谷歌上搜索“先天与后天”，就能找到大量的讨论、文章、讲座等等。此外，许多网站也从不同的角度探讨这个问题。

Another study begun by Harvard psychologist Jerome Kagan that followed babies for 20 years also showed that nature has much to do with personality. In this study, babies that reacted with calm to changes in their environment, to new faces, new objects, and new sounds, remained calm into their adult years. Babies that were distressed by novelty by flailing their legs, arching their backs, and crying, grow into anxious adults. No matter how positive their living conditions are, they are always preparing for doom. Professor Kagan maintains that 15 to 20 percent of newborns are wired to worry, that is, born predisposed to be anxious (Marantz-Henig, 2009). For some individuals the anxiety can be submerged or alleviated by a “benign” environment, although for others it always exists below the surface. Googling “nature versus nurture” will produce a treasure trove of discussions, articles, lectures, and so on. In addition, a number of Web sites examine the issue from a number of points of view.

媒体

The Media

大众传媒的影响力是社会化最强大的来源之一，其影响力堪比同龄人群体，在很多情况下甚至超过学校和家庭。报纸、杂志、广播，尤其是电视和可通过电脑和智能手机访问的互联网，已经渗透到每个美国家庭。人们认为，观看电视的时间长短和娱乐内容的质量（以性和暴力为中心）煽动了犯罪和违法行为，并导致民众品味和知识水平下降。然而，尽管有明确的因素表明电视和互联网作为社会化媒介具有负面影响，但两者之间并没有明确的因果关系。

One of the most powerful sources of socialization, equaling the socializing influence of the peer group and in many instances surpassing that of school and family, is the influence of the mass media. Newspapers, magazines, radio, and most especially television and the Internet accessible by computers and smartphones have infiltrated every American home. The amount of time spent watching television and the quality of the entertainment presented (centering on sex and violence) have been blamed for inciting criminal and delinquent behavior, as well as for the decreasing level of taste and general knowledge of the population. However, no simple cause-and-effect relationships have ever been unfailingly established, although definite factors point to the negative influence of television and the Internet as socializing agents.

无论是在电视上还是在其他媒体上观看的电影，都不会像我们大多数人所经历的那样重现现实，而是选择特定的领域、主题、话题和解读进行呈现。即使是新闻广播，也不会报道当天发生的所有事情；只会选择具有一定重要性或被认为具有广泛吸引力的新闻。孩子们可能会对世界和我们的生活产生错误的认识。电视和其他媒体上的节目也会推广一些可能只在少数人中流行的规范，这又会让年轻人和不谙世事的人对社会中大多数人的生活方式产生错误的印象 (Bierman, 1990; Donnerstein, Slaby, & Eron, 1993)。即使是偶然的学习——观众在娱乐过程中无意中了解到的内容——也可能导致扭曲和刻板印象。然而，媒体的各个部分都被证明是非常有效的教学工具；事实上，它的有效性让许多有思想的人感到恐惧。孩子们只要上网就能找到不适合他们阅读的色情内容，同时，他们只需点击鼠标就能获得大量的信息。

Movies, whether seen on television or on other media, do not reproduce reality as most of us experience it but select specific areas, themes, topics, and interpretations for presentation. Even in a newscast, not everything that occurred on a certain day is reported; only news items of a certain level of importance and/or judged to have wide appeal are chosen. Children may derive a false idea of what the world and our life in it is all about. Shows seen on television and other media also popularize norms that may be prevalent only among a small number of people, again giving the young and unsophisticated a wrong impression of how the majority of people in the society live (Bierman, 1990; Donnerstein, Slaby, & Eron, 1993). Even the incidental learning—what the audience unintentionally learns as a side effect of entertainment—may lead to distortions and stereotyping. All segments of the media, however, have been shown to be very effective teaching tools; in fact, its very effectiveness has many thinking persons frightened. Children who have access to the Internet can find hard-core pornographic material not intended for them, at the same time that they can garner an encyclopedic amount of information with the click of a mouse.

社交媒体，例如Facebook、Twitter、LinkedIn等等，如今尤其受到人们的关注。这些应用程序旨在让人们在虚拟社区中互动、分享和交换信息，而无需面对面交流。它们在年轻人中非常流行，他们在这里见面、讨论、聊天，描述他们在哪里、在做什么等等。社交媒体也有其优点，但也有缺点。一些学校学生在这些社交媒体上遭受同学欺凌的案例，导致受欺凌的孩子自杀。

Social media such as Facebook, Twitter, LinkedIn, and many more, are of special interest now. These applications are designed to allow people to interact, share, and exchange information in virtual communities in which face-to-face presence is not needed. They have become very popular with young people who meet, discuss, chat, and describe where they are and what they are doing, and so on. They too have advantages, but also disadvantages. Several instances of bullying of school children by their peers on these media have resulted in the bullied children killing themselves.

职业群体

Occupational Groups

职业团体或组织作为社会化媒介的作用不容忽视。这些团体提供的经验被称为专业化或职业社会化，其基本内容是为适应特定职业角色而进行的培训，例如牧师、工会公关官员或企业高管。成功社会化的个人最终会展现出反映职业角色需求的个性特质：顺从、合作、团队导向等等。

The role of occupational groups or organizations as socializing agents cannot be ignored. The experience provided by such groups is termed specialized or occupational socialization, and it consists, basically, of training to fit a particular occupational role: that of clergyman or labor-union public relations official or corporate executive. The successfully socialized individual eventually displays personality traits that reflect the needs of the occupational role: conformity, cooperation, team orientation, and so on.

逆向社会化

Reverse Socialization

在城市工业社会中，年轻一代通常会向老一代传授知识和技能——这与旧的、传统的、农业社会。在美国，这种情况在移民家庭中很常见，出生在美国的孩子更容易理解美国文化，也更容易融入其中。他们常常需要向父母和祖父母解释做事的方式。当社会变革迅速时，即使是土生土长的人也会遇到同样的情况：年幼的孩子可能比他们的中年父母更了解数码相机、电脑或智能手机的功能。

In urban, industrial societies, the younger generation often transmits knowledge and skills to the older generation—a turnaround from what took place in the older, traditional, agricultural societies. In the United States this is often the case in immigrant families, in which the children who were born here understand and feel more at ease in American culture. They often find themselves explaining the way things are done to their parents and grandparents. When social change is very rapid, the same thing can happen even to the native born: young children may know more than their middle-aged parents about the functioning of digital cameras, computers or smartphones.

重新社会化

Resocialization

人格发展贯穿人的一生。由于生活是一连串的变化，人们不断地承担新的身份，所以人们有必要不断学习新的角色。有些变化是如此深刻，以至于需要几乎完全的再社会化，即彻底改变以前的价值观和行为。这种角色转变过程——摆脱旧角色，接受新角色——可能相当剧烈。再社会化一般指的是必须学习全新的规范和价值观，而忘记旧的规范和价值观的情况，因为人们突然被推入不同的文化或亚文化，被孤立于他们以前的主要群体，因事故或疾病而变得残疾，或皈依新的宗教或政治意识形态。有些需要再社会化的情况是自愿的；大多数情况并非如此。无论哪种情况，通常都需要彻底重新定义一个人的自我概念，并重新思考价值观和信仰。

Personality development continues throughout a person’s life. Because life is a succession of changes in which people constantly assume new statuses, it is necessary for people to keep learning new roles. Some changes are so profound that they require almost total resocialization, a radical alteration of formerly held values and behavior. This process of role transition—shedding old roles in favor of new ones—may be quite dramatic. Resocialization in general refers to situations in which entirely new sets of norms and values must be learned—and old ones forgotten—because people are suddenly thrust into different cultures or subcultures, are isolated from their former primary groups, become handicapped as a result of an accident or illness, or embrace a new religion or political ideology. Some situations requiring resocialization are entered into voluntarily; most are not. In either case, a radical redefinition of one’s self-concept and a rethinking of values and beliefs are usually in order.

最引人注目的再社会化案例发生在个人被组织或社会代表强迫改变其先前身份的时候。这种情况可能发生在外国势力对战俘进行“洗脑”，灌输其自身政治制度的优越性时。也可能发生这种情况：社会为了保护自己，将某些人隔离，并将他们关押在监狱或精神病院，剥夺他们的行动自由。更多解释请访问：www.new.edu/resources/resocialization-and-total-institutions。

The most dramatic instances of resocialization occur when individuals are forced, either by an organization or by representatives of society, to alter their former identity. This may happen when a foreign power “brainwashes” prisoners of war to inculcate the superiority of their own political system. It also happens when society, to protect itself, isolates certain individuals and denies them freedom of movement by containing them in prisons or mental hospitals. Further explanations may be found at: www.new.edu/resources/resocialization-and-total-institutions.

监狱、长期医院、各兵种、修道院、战俘营或难民营以及类似场所被称为“完全机构”（参见第四章）。在完全机构中，个体生活在与社会其他部分隔绝的群体中一段时间，在一个受控且结构严谨的环境中生活和工作。完全机构试图使囚犯重新社会化，赋予他们全新的身份和行为模式：前罪犯有望成为有生产力的公民，吸毒者有望戒毒，邪教皈依者有望对新宗教产生盲目的忠诚。社会化各个阶段的定义和示例可以在互联网上找到。例如，www.boundless.com/ sociology/textbooks 。

Prisons and long-term hospitals, as well as all branches of the military service, convents and monasteries, prisoner-of-war or refugee camps, and similar places, are called total institutions (see Chapter 4). In total institutions, individuals live in groups that are cut off from the rest of society for a period of time, residing and working in a controlled, rigidly structured environment. Total institutions attempt to resocialize their inmates to give them totally new identities and behavior patterns: former criminals are expected to become productive citizens, drug addicts are expected to become drug free, and converts to a cult are expected to develop blind loyalty to their new religion. Definitions and examples of the various stages of socialization may be found on the Internet. For instance, www.boundless.com/sociology/textbooks.

其他变化虽然不那么剧烈，但同样重要，需要调整社会化进程，以适应新的价值观和行为模式。生命周期的某些时期（例如青少年和老年）以及特定的危机（例如离婚、丧偶、失业或残疾）也迫使个人接受再社会化，以重新融入社会体系，继续过上富有成效的生活。

Other changes, less dramatic but no less important, require an adjustment of socialization to accommodate new values and modes of behavior. Certain periods of the life cycle—such as adolescence and old age—and specific crises—such as divorce, death of a spouse, loss of a job, or becoming disabled—also force the individual to submit to resocialization to become reintegrated into the social system and continue to live a productive life.

一些结论

Some Conclusions

社会化过程显然并非总是完美无缺：有些人未能得到充分的社会化，或者社会化过程可能不够强大，无法克服某些情绪异常。然而，社会不可能存在于混乱的环境中。社会必须有一定程度的秩序。反过来，社会秩序的促进因素是遵守规范并履行角色，从而使社会系统顺利运转（参见第四章）。当然，角色和规范是在社会化过程中习得的。有些人拒绝遵守共同规范，这是社会化的失败吗？还是有些人天生就有缺陷？为了回答这些问题，我们探讨了偏差行为和偏差者，这也是下一章的主题。

The socialization process clearly does not always work perfectly: some individuals fail to be properly socialized, or perhaps the socialization process is not strong enough to overcome certain temperamental anomalies. Yet, societies cannot exist in chaotic circumstances. They must have a degree of order. In turn, order in society is promoted by adhering to norms and fulfilling roles, thereby making the social system work smoothly (see Chapter 4). And, of course, roles and norms are learned in the process of socialization. Is it a failure of socialization that some individuals refuse to follow common norms? Is it an inborn defect in some individuals? In attempting to answer such questions, we broach the subject of deviance and deviants, which is the topic of the next chapter.

人格形成理论仅代表了社会科学家寻求解答这些基本问题的主要方向，这些问题包括：是什么造就了人们的本性，以及先天和后天在哪些方面发挥了作用。心理学学科催生了许多理论，试图解答这些问题。例如，强调自我概念和自我实现的理论，强调我们能够成为什么样的人，而不是我们是什么人，以及个人如何提升自我概念，从而发挥潜能，而不是纠结于如何成为现在的样子。卡尔·罗杰斯（1961）和亚伯拉罕·马斯洛（1968）是两位与这些理论相关的美国心理学家。格式塔心理学学派由德国理论家马克斯·韦特海默（1880-1943）创立，该学派认为，行为必须被视为一个整体，而不是被简化为可以考察的部分（在德语中，格式塔意为“整体”或“整个图形”）。个体将现实视为一个整体，而整体大于各部分之和。格式塔心理学家不仅强调必须全面考虑行为，而且强调行为取决于个人如何看待情况。

The theories of personality formation represent only the major directions in which social scientists have sought answers to the basic questions regarding what makes people become what they are and the roles played by nature or nurture. The discipline of psychology has produced many theories in an attempt to answer these questions. Theories stressing self-concept and self-actualization, for instance, emphasize what we can become instead of what we are and how individuals can improve their self-concept and therefore fulfill their potential, instead of dwelling on how they got to be the way they are. Carl Rogers (1961) and Abraham Maslow (1968) are two American psychologists associated with these theories. The school of Gestalt psychology, founded by German theorist Max Wertheimer (1880–1943), maintains that behavior has to be viewed as a whole, rather than being reduced to parts that can be examined (in German, Gestalt means “whole” or “entire figure”). The individual perceives reality as a whole, and that whole is more than the sum of its parts. Gestalt psychologists stress not only that behavior must be considered in its entirety but also that behavior depends on how the individual perceives the situation.

这些理论以及更多未提及的理论的存在，应该表明该主题的复杂性，以及人类人格之谜尚无明确答案。每种理论都强调个体的不同方面，因此得出的结论也略有不同。然而，显然，除非与他人互动，否则人们无法成长为富有生产力的人，而这种互动的质量至关重要。

The existence of these and many more theories that have not been mentioned should suggest the complexity of the subject as well as the absence of definite answers to the puzzle of human personality. Each theory emphasizes a different aspect of the individual and consequently reaches somewhat different conclusions. Clearly, however, people do not mature into productive human beings unless they interact with others, and the quality of such interaction is of utmost importance.

人格是一个抽象的术语，指的是一个动态系统，涵盖个体所有的行为和情感特征——态度、价值观、信仰、习惯、目标、行动等等。人格是基于人类共有的某些生物学因素以及独特的基因遗传而形成的。在此基础上，叠加了独特的物质环境、融入共同文化的社会化、共同的（或群体）经历以及独特的（或个人）经历。

Personality is an abstract term denoting a dynamic system that includes all of an individual’s behavioral and emotional traits—attitudes, values, beliefs, habits, goals, actions, and so forth. Personality develops on the basis of certain biological factors common to all humans as well as according to a unique genetic heredity. On this basis are superimposed a unique physical environment; socialization into a shared culture; common, or group, experiences; and unique, or individual, experiences.

生物学在人格形成中扮演着重要的角色。每个人天生就带有特定的遗传生理和气质特征，社会中的其他人会对此做出反应。所有人类也天生具有某些生物驱动力和需求，他们必须学会以社会认可的方式去满足这些驱动力和需求。社会化就是人们学习这些方式的过程。在此过程中，人们发展出自我和个性。

Biology plays an important role in personality formation. Each individual is born with specific inherited physical and temperamental traits to which others in the society react. All humans are also born with certain biological drives and needs that they must learn to satisfy in socially approved ways. Socialization is the process in which they learn to do so. In the bargain, people develop a self and a personality.

人类天生倾向于接受社会化。他们需要他人的身体接触和爱。婴儿时期的他们完全无助，需要他人的照料才能勉强生存。社会化是一个对个人和社会都有益的过程。至于社会化是如何发生的，库利从社会学的角度认为，这是一个他人提供个人镜像的过程，个人据此进行自我评判。米德也强调与他人进行象征性互动的必要性，以及学习各种角色并了解它们如何互补的必要性。

Humans are predisposed toward accepting socialization by biology. They need to be physically touched and loved by others. They are totally helpless as infants, needing the ministrations of others for sheer survival. Socialization is a process that is advantageous to both the individual and society. As to how socialization occurs, from a sociological perspective Cooley maintains that it is a process in which others supply a mirror image of the individual, who then judges himself or herself accordingly. Mead also insists on the need for symbolic interaction with others and on the necessity of learning a variety of roles and seeing how complementary they are.

其他理论家则从其他角度看待人格形成。弗洛伊德强调从婴儿期到青春期的性心理发展阶段的重要性，以及解决本我、自我和超我之间的斗争的重要性。皮亚杰推测，智力和道德发展会根据个体生理成熟度分阶段进行。科尔伯格则关注道德发展。

Other theorists view personality formation from other perspectives. Freud stresses the importance of the psychosexual stages of development from infancy to adolescence and the resolution of the struggle between the id, the ego, and the superego. Piaget speculates that intellectual and moral development proceeds in stages according to the individual’s physical maturation. Kohlberg focuses on moral development.

社会化的主要媒介包括家庭、学校、同龄群体，以及日益重要的大众媒体。在传统社会中，家庭是最重要的社会化媒介。在科技发达的社会中，同龄群体逐渐取代了这一功能，尤其是在青少年时期。大众媒体作为社会化媒介的危险之处在于，它们呈现了一种不切实际且带有选择性的世界观。

The principal agents of socialization include the family, the school, the peer group, and, increasingly, the mass media. In traditional societies, the family is the most important socializing agent. In technologically advanced societies, the peer group usurps this function, particularly during adolescence. The danger of the mass media as socializing agents is that they present an unrealistic and selective view of the world.

社会化是一个持续的过程，个体在生命周期的不同阶段学习扮演与新身份相符的新角色。在某些情况下，新角色要求彻底抛弃旧的行为模式和旧的身份。这个过程被称为再社会化，在个体进入诸如军队、监狱或精神病院等综合机构时最为常见。

Socialization is a continuing process as individuals learn to fulfill new roles befitting new statuses acquired at different times of the life cycle. In some cases, the new roles require that old patterns of behavior and the old identity be completely abandoned. This process is called resocialization and is used most frequently when the individual enters a total institution such as the military services, a prison, or a mental hospital.

有些理论回避解释。罗杰斯和马斯洛关注的是获得积极的自我概念并实现自我实现，无论特定人格是如何或为何形成的。格式塔理论家强调行为的整体性和个体对现实的感知对人格的影响。

Some theories eschew explanations. Rogers and Maslow are concerned with acquiring a positive self-concept and attaining self-actualization, regardless of how or why a specific personality developed. Gestalt theorists stress the totality of behavior and individual perceptions of reality as they affect personality.

发展主义：现代心理学的一个学派，其主要代表人物是让·皮亚杰。发展主义者认为，人格发展是分阶段进行的，这些阶段依赖于身体的成熟（感觉运动、前运算、具体运算和形式运算）。

developmentalism A school of thought in modern psychology whose chief exponent was Jean Piaget. Developmentalists hold that personality development proceeds in stages that are dependent on physical maturation (sensory-motor, preoperational, and concrete and formal-operational).

自我（弗洛伊德）人格中在意识层面运作的部分。它试图迫使本我以社会可接受的方式满足其本能需求。

ego (Freud) A part of the personality that functions on a conscious level. It attempts to force the id to satisfy its instinctual needs in socially acceptable ways.

广义他者 (米德)个人对社会规范的感知或意识；学习扮演与之互动的所有其他人或整个社会的角色。

generalized other (Mead) The individual’s perception or awareness of social norms; learning to take the role of all others with whom one interacts or of society as a whole.

本我（弗洛伊德）力比多在人格中的代表，存在于无意识层面，构成人格中原始的、非理性的部分。

id (Freud) The representative of the libido in the personality, existing on an unconscious level and making up the primitive, irrational part of the personality.

本能遗传的、普遍的、复杂的行为模式。

instincts Genetically transmitted, universal, complex patterns of behavior.

力比多 (弗洛伊德)追求快乐的本能驱动力，是人类行为背后的驱动力。

libido (Freud) The instinctual drive toward pleasure, which is the motivating energy behind human behavior.

镜中自我（库利）人格形成的过程，在此过程中，个人的自我形象通过感知观察到的他人态度而出现。

looking-glass self (Cooley) The process of personality formation in which an individual’s self-image emerges as a result of perceiving the observed attitudes of others.

心智（米德）一个人思想的抽象整体。

mind (Mead) The abstract whole of a person’s ideas.

个性是一个复杂而动态的系统，包括个人的所有行为和情感特征、态度、价值观、信仰、习惯、目标等。

personality A complex and dynamic system that includes all of an individual’s behavioral and emotional traits, attitudes, values, beliefs, habits, goals, and so on.

精神分析理论：西格蒙德·弗洛伊德发展的人格理论。该理论假设每个人体内都存在着意识和无意识的过程。

psychoanalytic theory A theory of personality developed by Sigmund Freud. It assumes the existence of unconscious as well as conscious processes within each individual.

性心理阶段（弗洛伊德）个体在生理成熟的不同阶段试图满足力比多的方式。这些阶段包括口欲期、肛欲期、性器期（或俄狄浦斯期）、潜伏期和生殖期。

psychosexual stages (Freud) The manner in which individuals attempt to gratify the force of the libido at different periods of physical maturation. The phases are oral, anal, phallic (or Oedipal), latent, and genital.

再社会化：个人现有的自我概念和身份被抹去，以形成新的个性或进行改变以适应新角色的过程。

resocialization A process in which the individual’s existing self-concept and identity are erased in favor of a new personality or are altered to fit new roles.

自我（米德）个人的自我概念或自我意识。

self (Mead) The individual’s self-conception or self-awareness.

重要他人 (米德)个人生活中的重要人物，其角色最初被模仿。

significant others (Mead) Important people in an individual’s life whose roles are initially imitated.

社会化生物体学习成为人类、获得具有自我和身份的个性以及吸收其社会文化的学习过程。

socialization The learning process by which a biological organism learns to become a human being, acquires a personality with self and identity, and absorbs the culture of its society.

超我（弗洛伊德）人格的最后一个要素，主要存在于无意识层面，并起到对本我施加抑制和道德的作用。

superego (Freud) A final element of personality, existing largely on an unconscious level and functioning to impose inhibition and morality on the id.

符号互动论乔治·赫伯特·米德创立的一个思想流派，其理论围绕心灵、自我和社会的相互关系展开，并认为社会和个人通过符号互动相互产生。

symbolic interactionism A school of thought founded by George Herbert Mead whosetheories center around the interrelationship of mind, self, and society and include the belief that society and the individual give rise to each other through symbolic interaction.

完全机构一种组织或居住场所，囚犯在其中与他人隔离生活，其自由受到限制，以试图让他们以新的身份和行为模式重新融入社会。

total institution An organization or a place of residence in which inmates live isolated from others and where their freedom is restricted in the attempt to resocialize them with new identities and behavior patterns.

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Segal, Nancy L. 2012. Born Together—Reared Apart. Cambridge, MA: Harvard University Press.

Snarey, John. 1987.“道德问题”，《今日心理学》，六月。

Snarey, John. 1987. “A Question of Morality,” Psychology Today, June.

Spitz, Rene A. 1964. “住院主义”。载于Rose L. Coser主编《家庭：其结构与功能》。纽约：圣马丁出版社，第399-425页。原载于1945年出版的《儿童精神分析研究》第一卷。纽约：国际大学出版社。

Spitz, Rene A. 1964. “Hospitalism.” In Rose L. Coser, ed., The Family: Its Structure and Functions. New York: St. Martin’s Press, pp. 399–425. Originally appeared in The Psychoanalytic Study of the Child, 1945, Vol. 1. New York: International Universities Press.

Starrels, Marjorie，1992 年。“母亲与子女对母亲就业的态度相似性。” 《婚姻与家庭杂志》 54：91-103。

Starrels, Marjorie, 1992. “Attitude Similarity Between Mothers and Children Regarding Maternal Employment.” Journal of Marriage and the Family 54: 91–103.

Stolberg, Sheryl Gay。2001年。“研究人员发现行为问题与儿童保育时间之间存在联系。” 《纽约时报》，4月19日，第A18页。

Stolberg, Sheryl Gay. 2001. “Researchers Find a Link Between Behavioral Problems and Time in Child Care.” The New York Times, April 19, p. A18.

玛丽·阿拉纳。2001年。《美国女孩：两个世界，一个童年》。纽约：兰登书屋。移民的共同经历是在两种文化中成长，而这些文化中的社会化期望有时相互矛盾。本书描绘了这样的社会化经历。

Arana, Marie. 2001. American Chica: Two Worlds, One Childhood. New York: Random House. A common experience for immigrants is growing up in two cultures, in which socialization expectations are sometimes contradictory. This book portrays such a socialization experience.

肯尼，洛林·迪莉娅。2000年。《郊区的女儿：白人、中产阶级和女性的成长》。新泽西州布伦瑞克：罗格斯大学出版社。这项针对长岛郊区少女的研究聚焦于一个鲜为人知的群体：普通的美国年轻女性。

Kenny, Lorraine Delia. 2000. Daughters of Suburbia: Growing Up White, Middle Class, and Female. Brunswick, NJ: Rutgers University Press. A study of teenage girls from suburban Long Island focuses on a seldom-explored population: the average American young woman.

Segal, Nancy L. 2012. 《生于一起，长于不同》。波士顿，哈佛大学出版社。一项具有里程碑意义的明尼苏达双胞胎研究得出结论：分开抚养的同卵双胞胎与一起抚养的同卵双胞胎一样相似——也就是说，先天（基因）比后天更重要。

Segal, Nancy L. 2012. Born Together, Raised Apart. Boston, Harvard University Press. A landmark Minnesota twin study concluding that identical twins raised separately are as alike as those raised together—that is, nature (genes) are more important than nurture.

请在互联网上查找以下主题：先天与后天、人格研究、弗洛伊德心理学、社会化、人格习得。链接太多，无法一一列举。

Please check out the following subjects on the Internet: Nature versus Nurture, Personality Studies, Freudian Psychology, Socialization, Acquiring Personality. The links are too numerous to list.

Deviance and Criminality: The Need for Social Control

越轨与犯罪：社会控制的必要性

在本章中，你将学习

IN THIS CHAPTER, YOU WILL LEARN

• 偏差一词的含义；

• what is meant by the term deviance;

• 偏差的功能和相对性质；

• the functions and relative nature of deviance;

社会科学对偏差行为提供的各种解释；

• the various explanations of deviance furnished by the social sciences;

• 犯罪的性质、程度和分类；以及

• the nature, extent, and classification of crime; and

• 刑事司法制度的不足。

• the inadequacies of the criminal justice system.

T媒体每天都会用一些人的可怕行径淹没我们。每当我们打开收音机、电视或浏览互联网，就不可能不听到、读到或看到枪手杀害学生、男友杀害伴侣，以及陌生人在电影院杀害观众的事件。无需列举例子；这样的事件每天都在发生，以至于读者、观众或听众常常对这个世界感到无比厌恶。为什么有些人会犯下如此残暴的罪行？社会应该做些什么来阻止这些人进一步造成伤害？我们可以做些什么来防止此类事件再次发生？

The media overwhelm us daily with the horrible deeds of some people. It is impossible to turn on the radio, or television, or browse the Internet, without hearing or reading or seeing shooters who kill schoolchildren, boyfriends who kill their partners, and strangers who kill patrons in movie theaters. There is no need to provide examples; a number of such events occur every day so that a reader, viewer, or listener often feels overcome with revulsion at the world. Why do some people commit such atrocious acts? What should society do to keep such persons from doing further harm? What can be done to prevent such acts from ever happening?

这些问题已被反复提出，神学家、哲学家和科学家尽管都曾尝试，却始终未能给出令人满意的答案。“邪恶”——宗教和哲学中用来指代被认为对他人和整个社会群体有害的行为——的存在早已被承认，并且世界各国社会都经历过。然而，“邪恶”的程度和频率并非在所有地方都相同。其影响或结果也并非在所有地方都相同（科学所能探讨的邪恶结果就是犯罪）。在像日本或芬兰这样同质且融合良好的社会中，虽然也存在犯罪，但犯罪的程度远低于多民族、异质化的社会。原因在于，绝大多数日本人和芬兰人拥有相同的价值观，遵循相同的规范，尊重相同的传统，并追求相同的目标。在日本，社会群体比个人更重要，个人的愿望和欲望总是服从于群体的需求。个人自由的理念和个人权利——美国政治制度赖以建立的基础——在日本的历史非常短暂。芬兰也是一个相对无阶级的社会，人们相信国家是仁慈的，并对其公民机构充满信任。因此，街头犯罪率较低，执法官员也得到了大多数公众的支持。

These questions have been asked a great many times, and neither theologians, nor philosophers, nor scientists have been able to answer them satisfactorily, though each has tried. The presence of “evil”—the term applied by religion and philosophy to acts deemed damaging to others and to the social group as a whole—was acknowledged long ago and has been experienced in all societies of the world. The extent and frequency of “evil,” however, is not the same everywhere. Nor is the effect or the result of “evil” the same everywhere (the result of evil that science can discuss is crime). In societies that are homogeneous and well integrated, such as Japan or Finland, although crime exists, it does so to a much lesser extent than in multiethnic, heterogeneous societies. The reason is that a great majority of Japanese and Finns hold the same values, follow the same norms, honor the same traditions, and aim for the same goals. In Japan the social group is more important than the individual, and individual wishes and desires are always subjugated to the needs of the group. The idea of individual freedom and individual rights—on which the American political system is predicated—has a very short tradition in Japan. Finland, too, is a relatively classless society, in which people are convinced that the state is benevolent, and they display a trust in its civic institutions. As a consequence, street crime is low and law enforcement officials receive support from a majority of the public.

图片 6.1在所有社会中，杀戮都是被世俗法律和宗教教义所禁止的。然而，也有例外：在战争时期，士兵被允许，甚至被命令杀死他们眼中的敌人。此外，在法律不禁止死刑的社会中，国家及其政府可以将死刑作为死罪的惩罚。

IMAGE 6.1 Killing is forbidden in all societies, by secular laws and religious tenets. However, there are exceptions: in time of war, soldiers are permitted, even ordered, to kill those they consider the enemy. In addition, the state and its government can use death as punishment for a capital crime in societies in which the death penalty is not prohibited by law.

iStock：© CowlickCreative

iStock: © CowlickCreative

当美国还是一个由英国殖民者组成的社会时，他们来自欧洲的同一地区，并受权威宗教的束缚，犯罪率可能较低，但肯定不会完全消失。如今，美国已变得非常多元化，由来自世界各地的人们组成，拥有各种各样的传统和规范。由几代殖民者后代发展而来的美国赋予了美国人共同的性格，并且仍然有一些价值观和议题将我们团结在一起。但同样也存在着许多分裂我们的问题。我们在种族、宗教、语言、政治以及许多其他方面存在分歧。信息爆炸及其广泛传播使我们不知所措，以至于我们中的一些人甚至不确定该相信什么。这些因素以及其他许多因素使得我们的社会凝聚力——维系我们团结的力量——变得脆弱。当社会纽带断裂，当社会分裂时，我们更容易采取行动而不考虑它会如何影响邻居。

When the United States was a society of English settlers, originating from the same places in Europe and bound together by an authoritarian religion, it is quite possible that crime was less frequent, but certainly not altogether absent. Today, the United States has become very heterogeneous, consisting of people from all parts of the globe, with all sorts of traditions and norms. The United States that evolved from the generations of settlers’ descendants has given Americans a common character, and there are still values and issues that unite us. But there are also as many issues that divide us. We are divided racially, religiously, linguistically, politically, and on a great many other bases. The information explosion and its wide diffusion have overwhelmed us, so that some of us are not quite sure what to believe. These factors, and many more, have rendered our social cement—what holds us together—brittle, and when the social bond is broken, when a society is fragmented, it is easier to act without considering how it affects one’s neighbor.

即使违法和违反道德的行为层出不穷，我们必须认识到，涉及其中的只是一小部分人。大多数人仍然遵纪守法。开车上街时，我们大多数人仍然会在红灯时停车，然后在绿灯时继续行驶。我们经常这样做，象征着社会生活的两个重要方面：其一，人们共享共同的规范；其次，人们（或者至少大多数人）遵守这些规范。最重要的是，他们相信其他人也会遵守。在这种情况下，共同的规范是红灯停，绿灯行的指令（通过交通信号灯这一符号传达）。这种规范在大多数人心中根深蒂固，即使街道空无一人，无人注意，他们也会在红灯时停下。共同的期望是绿灯时通行的驾驶员以及“行走”信号灯亮起时过马路的行人所展现的信任。他们都确信，红灯时通行的驾驶员一定会停下。当这种信任被背叛时，可预见的结果是发生碰撞或撞到行人。无论哪种情况，有序的车流和人流都会被打乱，造成暂时的混乱。

Even with the abundance of acts that are against law and morality, we must realize that only a small portion of the population is involved. The majority is still law abiding. Driving down the street, most of us still stop for a red light and then proceed on green. That we do this regularly is symbolic of two important aspects of life in society: one, that people share common norms; and two, that people (or at least most people) obey those norms. Most important, they trust others to obey them. In this case, the common norm is the command (transmitted by a symbol, the traffic light) to stop on red and proceed on green. The norm is so well ingrained in most people that they stop on red even when the streets are deserted and they are not being observed by another living soul. And the shared expectation is the trust exhibited by those motorists who proceed with the green light, as well as by pedestrians who cross the street when the signal says “Walk.” Both are certain that motorists who have the red light will unfailingly stop. When this trust is betrayed, the predictable result is that either a collision occurs or a pedestrian is hit. In either case, the orderly flow of cars and people is disrupted, giving way to temporary chaos.

偏差

Deviance

“越轨”一词带有直接的负面含义。也就是说，当我们听到“越轨”时，我们会想到“坏”。然而，这是对这个词的错误理解，因为该词仅仅指背离社会规范或不符合社会规范的行为。按照这个定义，圣女贞德（一位天主教圣女，尽管她是中世纪法国的一个年轻农家女孩，但她率领军队抗击英国人并取得了重大胜利）无疑是越轨者。在当时，女性率军作战肯定违反社会规范（现在仍然如此！）。然而，她并非以恶棍的身份流芳百世，而是以女英雄和圣徒的身份流芳百世（尽管法国人称她为“ la fou”，意为“疯子”）

The word deviance has an immediately negative connotation. That is, we think “bad” when we hear “deviant.” However, that is an erroneous perception of the word, for the term refers simply to a departure from social norms or behavior that does not conform to social norms. In this definition, Joan of Arc (a Catholic Church saint who led an army against the English and won a significant victory over them although she was a young peasant girl in medieval France), was certainly deviant. It was surely against the social norms of the time for women to lead armies into battle (and it still is!). Yet she has come down through history not as a villain but as a heroine and a saint (even though the French refer to her as la fou or “the crazy one”).

“背离社会规范”对越轨行为的定义也过于宽泛。社会规范有很多等级，虽然违反某种民俗可能会受到非正式的制裁（参见第四章），但将违反者称为越轨者却毫无道理。更令人困惑的是，在普遍接受的道德规范中，越轨行为是相对的。杀戮是普遍禁忌，世俗政府和宗教都禁止杀戮。然而，也有例外：在战争时期，出于自卫或保卫家人，杀戮不仅被允许，而且会被命令和鼓励，人们还会因此获得勋章和嘉奖。

“Departure from social norms” is also too broad a definition of deviance. There are many gradations of social norms, and while a violation of a folkway may be informally sanctioned (see Chapter 4), it would make little sense to call the violator a deviant. To make matters even more confusing, in instances of universally held mores, deviance is relative. Killing is a universal taboo, prohibited by both secular governments and religions. Yet there are exceptions: in time of war, as self-defense, or in defense of one’s family, killing is not only allowed but ordered and encouraged, and people receive medals and commendations for it.

其他类型的背离社会规范的行为也不符合我们对越轨行为的认知。有些人六岁就能学会微积分，十四岁就能大学毕业。莫扎特在十几岁之前就能创作出精彩的音乐。这些人是统计学上的稀缺物种，我们钦佩他们；他们不是越轨者。另一方面，那些由于缺陷或残疾而从统计学上来说也罕见的个体——例如患有侏儒症或天生有明显畸形或身心异常的人——往往被认为是越轨者。因此，大多数人对背离社会规范的行为持负面看法，这才是越轨行为的定义。

Other types of departure from social norms also do not fit our perception of deviance. Some individuals are able to do calculus at six and graduate from college at 14. Mozart was writing splendid music before he was out of his teens. Such people are statistical rarities whom we admire; they are not deviants. On the other hand, individuals who may also be statistically rare because of defects or disabilities—people afflicted with dwarfism or those born with obvious malformations or physical and mental abnormalities—tend to be considered deviant. Therefore, it is the departure from social norms that is perceived negatively by a majority of people that defines deviance.

同一行为有时可能被视为越轨，也可能不被视为越轨，这取决于实施者。一个小孩可能会捡到枪，向路人开枪，将其击毙，但我们很难称这个孩子为杀人犯。白领犯罪的惩罚也较轻，因为它们不涉及暴力。社会阶层也起着一定作用：被发现挪用资金的银行家可能会入狱，但其刑罚往往比失业的流浪汉要轻。

The same act sometimes may be considered deviant or not, depending on who performs it. A small child might find a gun and discharge it at a passerby, killing him, but we would hardly call the child a murderer. White-collar crimes are also punished less harshly because they do not involve violence. Social class plays a role: a banker who is found to have embezzled funds may be imprisoned but tends to receive a lighter sentence than had the act been committed by an unemployed drifter.

还必须区分可能受意识形态信念驱使的不合规行为，以及为了个人利益、贪婪或精神疾病而采取的异常行为。因抗议……而被捕的人国际货币基金组织与因枪杀一名老人并窃取其社会保障金而被捕的组织并不属于同一类别的越轨行为。

Distinctions must also be made between nonconforming behavior, which may be prompted by ideological convictions, and aberrant behavior engaged in for personal gain, out of greed, or because of mental illness. A person who is arrested for protesting against the International Monetary Fund is not in the same category of deviance as the one arrested for shooting an elderly man to steal his Social Security check.

偏差的相对性

The Relative Nature of Deviance

前述讨论本应充分表明，越轨行为既难以定义，也难以准确指出。当然，在过去——甚至在今天，某些情况下，人们倾向于持有更为绝对的观点。社会规范似乎清晰明确，因此某些类型的行为显然属于越轨行为。民众中的道德家仍然坚持认为，越轨者是不道德的、反社会的或有罪的。

The preceding discussion should have made it amply clear that deviance can neither be easily defined nor pointed out with assurance. Of course, in the past—and in some cases even today—people tended to subscribe to much more absolutist views. Social norms appeared to be clear-cut, so that certain types of behavior were obviously deviant. Moralists among the population still cling to the idea that deviants are immoral, antisocial, or sinners.

社会科学家以及那些倾向于用科学方法研究人类行为的人，承认“越轨”一词的模糊性，并强调其相对性。越轨行为是相对的，因为它会随着环境、时间、地点、年龄、个体的心理健康状况，甚至越轨者及其定义者的社会地位而变化。越轨行为的相对性在像美国这样的社会中尤为明显，因为美国社会极其多元化，由大量亚文化群体，偶尔也包括反文化群体组成。

Social scientists, and those who prefer a scientific approach to human behavior, admit the ambiguity of the term and stress its relativity. Deviance is relative because it varies according to the circumstances, time, place, age, mental health of the individual, and even according to the social status of both the deviant and the person who does the defining. The relative nature of deviance is particularly apparent in societies such as that of the United States, which is extremely heterogeneous, made up of large numbers of subcultural, and occasionally countercultural, groups.

这里优先使用异常和偏差这两个术语，而不是正常和不正常，后者往往带有价值观色彩（也就是说，当人们将某人定义为“不正常”时，会做出更严厉的价值判断）。然而，实际上，这两个术语可以互换。定义正常和不正常与定义偏差和不正常存在同样的问题。在社会科学中，社会学家更喜欢谈论偏差而不是不正常，而心理学家则使用另一个术语。同样，社会学家倾向于将偏差行为视为社会化失败或环境因素造成的，而心理学家倾向于医学观点，推测社会和个人一样都是健康的，而偏差则是疾病的证据。本文将对这两种观点进行讨论。

The terms deviant and deviance are used here in preference to normal and abnormal, which tend to be value laden (that is, one makes an even harsher value judgment when one defines a person as “abnormal”). However, the terms are, for all practical purposes, interchangeable. Defining normality and abnormality presents the same problems as defining deviance and the lack of it. In the social sciences, sociologists prefer to speak of deviance rather than abnormality, whereas psychologists use the other term. Similarly, sociologists tend to see deviant behavior as a failure of socialization, or of factors in the environment, whereas psychologists incline toward the medical view, which speculates that societies, like individuals, are healthy, and deviance is evidence of disease. Both views are discussed here.

偏差的功能

Functions of Deviance

将功能归咎于越轨行为似乎有些奇怪，但它似乎并非完全扰乱社会。事实上，有人说，如果没有越轨行为，社会就不得不创造它们。首先，越轨行为会成为不该成为之人的典型，他们的行为也会成为社会所不容的行为典范。因此，越轨行为有助于界定可允许行为的界限。越轨行为的典型和对其施加的惩罚，重申了群体的既有规范，警示人们不要偏离正道。当成员们重新确立群体的价值观，并坚信自身值得维护时，群体凝聚力就会增强。看似矛盾的是，越轨行为或许可以增强社会的稳定性。正如一位著名社会学家所说，在可控的范围内，越轨行为是社会稳定的重要条件（Erikson，1964）。

It seems odd to attribute functions to deviance, yet it appears that it is not entirely disruptive to society. It has been said, in fact, that if there were no deviants, societies would have to invent them. To begin with, deviants become examples of the kind of person not to be, and their behavior a model of behavior that is not condoned by society. Thus, deviants help define the boundaries of permissible behavior. The example of deviants and the punishment that is meted out to them reaffirm the existing norms of the group, serving as a warning not to stray from the straight and narrow. Group cohesion is enhanced as members reassert the values of the group and are reassured in the conviction that they are worth preserving. As paradoxical as it seems, deviance may add to the stability of society. As a well-known sociologist has said, in controlled quantities deviance is an important condition for stability in society (Erikson, 1964).

越轨行为的另一个重要功能是它对社会变革的贡献。学习新规范、摒弃旧规范，在所有社会中都势在必行。其中一些新规范实际上可能源于少数人的越轨行为。第一个挑战现状的人通常被视为越轨者，那些试图以新方式行事的人也是如此。20世纪初，那些在白宫前抗议、举行示威活动，试图争取投票权的女性无疑被视为越轨者，然而，如果她们没有采取这种越轨行为，当代女性可能至今仍没有投票权。

Another important function of deviance is its contribution to social change. The learning of new norms and the abandonment of some old ones become imperative in all societies. Some of these new norms may actually emerge from the deviant activities of a minority of people. The first individual who challenges the status quo is usually considered deviant, as is the one who attempts to do something in a new way. The women who picketed the White House and staged demonstrations in an attempt to gain the right to vote at the beginning of the twentieth century were no doubt considered deviant, yet had they not acted in this deviant manner, the women of the current generation probably would still not be able to vote.

解释偏差

Explaining Deviance

人们常说，善与恶如同一枚硬币的两面，平等地存在于所有人身上。由于大多数人认为“善”最终有利于个人和群体，因此遵守群体规范的行为通常不会受到质疑。人们质疑的是为什么有些人会违反规则。自古以来，人们就试图解释偏差行为，并以当时的习语和哲学来表达。大多数宗教将偏差视为罪孽，或违背上帝的诫命。在现代，心理学家在个人内部寻找偏差行为的原因。社会学家则在人际交往中寻找解释。

It has often been said that good and evil are two sides of the same coin, existing equally in all humans. Because what is considered “good” is understood by most to ultimately benefit the individual and group, acting in conformity with group norms is not generally questioned. What is questioned is why some individuals break the rules. Attempts to explain deviance have existed from the earliest times, couched in the idiom and philosophy of the times. Most religions approach deviance as sin, or the breaking of God’s commandments. In modern times, psychologists search for the reasons for deviance within the individual. Sociologists look for explanations in the interaction of people.

异常者的待遇取决于如何解释异常行为。纵观历史，许多非犯罪的异常者被指控为女巫或被魔鬼附身。为了摆脱他们的折磨，他们经常被绞死、烧死或以其他可怕的方式处死。即使在15世纪的欧洲，当人们认为这些人可能患有疾病时，他们仍然会遭到殴打、囚禁、锁链束缚，并被当作非人类对待。英语单词bedlam，意为混乱和喧闹，源于英国一个著名的“疯人院”的名称。

The treatment of deviants depends on how deviance is explained. Throughout history, many noncriminal deviants have been accused of being witches or possessed by the devil. To free them of their affliction, they were regularly hanged, burned, or put to death in other horrible ways. Even when, in fifteenth-century Europe, the idea appeared that perhaps such people were ill, they were still beaten, locked away, chained, and treated like sub-humans. The English word bedlam, meaning confusion and uproar, comes from the name of a well-known “madhouse” in England.

早期生物学解释

Early Biological Explanations

从生物学、心理学和社会学的角度，人们提出了更科学的解释。意大利犯罪学家切萨雷·龙勃罗梭（1911）的理论表达了人们对外表具有威胁性的人本能的恐惧。他认为，有些人之所以会变得越轨，是因为他们具有与生俱来的遗传特征。龙勃罗梭确信他的观点能够得到科学研究的支持：他描述并测量了他认为“犯罪”类型的特征，例如突出的下巴、红头发、稀疏的胡须以及对疼痛的不敏感。尽管龙勃罗梭的理论最初很受欢迎，但后来发现，这些特征在非犯罪人群中出现的频率几乎与在犯罪人群中一样高。

Explanations of a more scientific nature have been offered from the points of view of biology, psychology, and sociology. The instinctive fear inspired by someone who looks threatening was given expression in the theories of the Italian criminologist Cesare Lombroso (1911), who held that some individuals become deviant because of inborn and genetically transmitted traits. Lombroso was convinced that his ideas could be supported by scientific research: he described and measured traits that he attributed to a “criminal” type, such as a jutting jaw, red hair, a sparse beard, and insensitivity to pain. Despite the initial popularity of Lombroso’s theories, it later became apparent that these traits appeared almost as frequently among the noncriminal population as among the criminal population.

在美国，心理学家威廉·谢尔顿 (William Sheldon) 复兴了这一理论的一个版本，他声称身体结构与性格有关。谢尔顿将人们分为三类：内型体型，身体柔软、圆润，性格善于社交、随和、自我放纵；中型体型，身体肌肉发达、敏捷，性格好动、精力充沛、不敏感；外型体型，身体瘦削纤细，性格内省、敏感、神经质，具有艺术气质 (1940, 1949)。在后来的研究中，谢尔顿得出结论，在犯罪男孩样本中，中型体型的比例过高，这一发现随后由行为科学家谢尔顿和埃莉诺·格鲁克 (Eleanor Glueck) (1956) 在另一项研究项目中得到扩展。然而，后者谨慎地补充说，除了其他特征和经历之外，体型也可能使某些人容易产生偏差。

In the United States, psychologist William Sheldon revived a version of the theory by claiming that body structure was related to personality. Sheldon classified people into endomorphs, with soft, round bodies and a social, easygoing, and self-indulgent personality; mesomorphs, with muscular, agile bodies and a restless, energetic, and insensitive personality; and ectomorphs, with thin and delicate bodies and an introspective, sensitive, nervous, and artistic personality (1940, 1949). In a later study, Sheldon concluded that mesomorphs were disproportionately represented among a sample of delinquent boys, a finding that was subsequently expanded in another research project by behavioral scientists Sheldon and Eleanor Glueck (1956). The latter, however, were careful to add that body type in addition to other traits and experiences probably predisposed certain people to deviance.

这是一项非常重要的资格。事实上，很可能并非体型本身决定了一个人的特定行为。相反，其他人对一个人体型的反应，以及这个人如何看待自己，才可能导致特定的行为。一个身材矮小的人，如果被人以嘲笑和贬低的方式称为“矮子”，很可能会对自己产生不好的印象，并可能选择以所谓的越轨方式进行反击。另一方面，一个瘦弱的年轻人不太可能被邀请加入青少年团伙，一个超重的人也不太可能成为飞贼。因此，体型对行为的影响只是非常间接的。

This is a very important qualification. In fact, it is very probable that it is not the body type per se that predisposes one to specific behavior. Rather, it is how others react to a person’s body type, and how that individual comes to perceive himself or herself, that may cause specific kinds of behavior. A short person, called “Shorty” in a ridiculing and denigrating way, may well acquire a poor self-image and may choose to strike back in ways that may be termed deviant. On the other hand, it is unlikely that a thin, fragile youth would be invited to join a juvenile gang, or that an overweight person would become a cat burglar. Thus, body type is only very indirectly responsible for behavior.

另一种关于异常的生物学解释集中在性染色体上。正常男性的性染色体由一条X染色体和一条Y染色体组成，而正常女性则有两条X染色体。然而，有些人天生就拥有过多的染色体：XXY、XYY等等。一项针对XYY染色体结构的男性患者的研究表明，这些患者比普通男性身高更高，往往存在轻度智力障碍，并且在犯罪群体中比在非犯罪群体中更常见（Owen，1972）。同样，这种异常也可能更多地源于其极高大、相貌丑陋的特质，而非额外的染色体；无论如何，这一理论最终遭到了否决。关于暴力和攻击行为的遗传原因的研究持续引发争议。

Another biological explanation of deviance focuses on sex chromosomes. In a normal male, these consist of an X and a Y, whereas a normal female has two X chromosomes. Some persons are born with more than their share of chromosomes, however: XXY, XYY, and so on. In a study of male patients who had an XYY chromosome configuration, it was shown that the latter were taller than average males, tended to be mildly retarded, and appeared more often in criminal than in noncriminal groups (Owen, 1972). Here, too, it is possible that the deviance is caused more by being an extremely tall, ungainly looking male than by the extra chromosome; at any rate, the theory came into disfavor. Research on the topic of possible genetic causes in violence and aggression continues to generate controversy.

犯罪行为是一种极其复杂的行为形式，将其归咎于单一的生物学原因是极其短视的。一些研究人员认为，冲动和无法延迟满足（如果不加以控制，可能会导致犯罪行为）本质上是遗传的，因此可能在受影响的个体中被追踪到。一位心理学家进行了一项研究，将14000多名被收养的男性与其亲生父亲进行了比较，发现两者之间存在相关性：被收养的男性中，如果其亲生父亲有盗窃前科，那么他们也可能有类似的犯罪记录（Goleman，1992，B5，B8）。然而，这项研究并未发现任何直接的遗传暴力倾向。

Criminality is such a complex form of behavior that to assign a single, biological cause to it is extremely shortsighted. Some researchers maintain that impulsiveness and the inability to defer gratification—which may, if unchecked, lead to criminal behavior—are essentially genetically transmitted and so could possibly be tracked in affected individuals. A study conducted by a psychologist that compared more than 14,000 adopted men to their biological fathers found there was a correlation: the biological fathers of adopted men who had convictions for theft were also likely to have had similar convictions (Goleman, 1992, B5, B8). This research, however, did not find any direct inherited tendency for violence.

偏差的生物学解释

Biological Explanations of Deviance

人格障碍可能导致偏差行为，其根源在于脑功能障碍，即精神疾病。脑功能障碍可能是器质性、急性或慢性的。人格障碍也可能由智力低下引起，智力低下可能是由于产前护理不当、母亲孕期感染风疹或遗传因素（例如唐氏综合征，患者有 47 条染色体而不是 46 条）造成的。这些精神障碍源于生理原因，并不一定被视为偏差行为。然而，情绪障碍和偏差行为可能源于症状（表现为思维过程紊乱），也可能源于患者对症状的反应。

Personality disorders that may result in deviant behavior are caused by malfunctions in the brain, that is, mental illness. Such malfunctions may be organic, acute, or chronic in form. Personality disorders may also be caused by mental retardation, which may result from poor prenatal care, from the mother having contracted rubella during pregnancy, or from a genetic cause (as in Down syndrome, in which the individual has 47 chromosomes instead of 46). These mental disorders are physical in origin and are not necessarily considered examples of deviance. However, emotional disturbances and deviant behavior may develop either from the symptoms (in the form of disturbed thinking processes) or from the way people react to the symptoms.

另一种疾病是心身疾病，即个体遭受疾病的生理症状，但这些症状并非由生理原因引起。这些生理症状由情绪紧张或焦虑引起，可能表现为结肠炎、偏头痛、胃炎、哮喘、皮肤病、溃疡、高血压、厌食症以及阳痿或性冷淡。尽管患有心身疾病的人通常不被重视，但必须强调的是，这些症状在各方面都与器质性病因一样真实存在。此外，随着医学知识的不断增长，这些症状的生理原因也逐渐被找到。

Another form of disorder is psychosomatic, meaning that the individual suffers physical symptoms of disease that do not arise from a physical cause. The physical symptoms result from emotional tension or anxiety and can take the form of colitis, migraine headaches, gastritis, asthma, skin disorders, ulcers, hypertension, anorexia, and impotence or frigidity. Although people who suffer psychosomatic disorders are often not taken seriously, it is important to stress that the symptoms are in every way as real as if there were an organic cause. In addition, as our medical knowledge increases, physical causes are often found for these symptoms.

神经症，又称焦虑症，被认为是一种轻度人格障碍，不会影响患者在社会中的正常生活。然而，神经症可能会对患者及其周围的人造成影响。

Neuroses, also called anxiety disorders, are considered to be mild personality disorders that do not prevent the affected individual from functioning in society. Nonetheless, they may be debilitating for the neurotic person and for those around him or her.

我们几乎所有人都有神经质倾向，而神经质在大众媒体上被广泛讨论，我们至少对它们并不陌生。最常见的神经质包括焦虑反应（无缘无故感到焦虑）、恐惧症（对高处、黑暗、隧道、桥梁、封闭空间、空旷空间、蛇或虫子产生莫名的恐惧）、抑郁症（感觉生活没有意义）、强迫症（无法阻止固定想法的出现或无法停止重复某些活动）、疑病症（认为自己生病了或总是即将患病）以及分离性反应（失忆症和多重人格，两者都是试图压抑某种想法或经历）。大多数这些障碍很少需要住院治疗，但有些确实需要治疗。对于严重的抑郁症、恐惧症和分离性反应病例，可能会要求住院治疗。对于病情较轻的病例，可以门诊治疗。在某些圈子里，尤其是在富裕的专业人士中，去看心理医生（或“精神科医生”）已经成为一种陈词滥调。其余人则尽力应对神经症偶尔带来的困扰。

Almost all of us have neurotic tendencies, and neuroses have been so widely discussed in the popular media that we are at least familiar with them. The most common ones include anxiety reaction (feeling anxious without reason), phobias (unreasonable fear of heights, the dark, tunnels, bridges, enclosed places, open places, snakes, or bugs), depression (feeling that life is not worth living), obsessive-compulsive reaction (being unable to stop fixed ideas from occurring or repeating certain activities without being able to stop), hypochondria (believing oneself ill or always about to acquire a disease), and dissociative reaction (amnesia and multiple personality, both of which are attempts to repress an idea or experience). Most of these disturbances rarely require institutionalization, but some do require treatment. In severe cases of depression, phobia, and dissociation, institutionalization may be prescribed. In less severe cases, treatment is provided on an outpatient basis. Going to one’s analyst, or “shrink,” has become a cliché in some circles, particularly among well-to-do professionals. The rest of the population copes as well as it can with the occasional disruptions caused by their neuroses.

其次是导致根深蒂固的适应不良行为的人格障碍。患有这些人格障碍的人包括反社会人格者（从事反社会行为，却毫无焦虑或悔意）、性变态者（异装癖、恋尸癖、兽交癖和鸡奸癖，其中鸡奸对他人最为危险，因为他们会利用儿童来获取性满足）以及成瘾者。

Next in severity are the personality disorders that result in well-ingrained maladaptive behavior. Persons suffering from these personality disorders include sociopaths (who engage in antisocial behavior without anxiety or remorse), sexual deviants (transvestites, necrophiliacs, bestialists, and pederasts, the last being the most dangerous to others because they use children to obtain sexual gratification), and addicts.

最后，精神病是一种严重的精神障碍，会导致患者因无法在社会中正常生活而住院治疗。三种主要的精神病是精神分裂症、偏执狂和躁狂抑郁症（或双相情感障碍）。

Finally, psychoses are serious mental disorders that cause those affected to be hospitalized because of their inability to function in society. The three major psychoses are schizophrenia, paranoia, and manic-depression or bipolar disorder.

精神分裂症是给那些似乎没有其他标签的人贴上的标签。精神分裂症患者的症状严重程度各不相同。有些人完全孤僻，无法与他人互动。有些人虽然可以在社会中正常生活，但在某些方面受到严重限制。然而，所有患者都无法充分发挥其应有的能力。这种疾病似乎具有家族遗传性，但目前尚不清楚其究竟是遗传性的，还是在特定环境中表现出来的遗传倾向。如果发病原因诊断正确，且住院时间较短，治疗是可行的，而且是有效的。

Schizophrenia is a label applied to people for whom there seems to be no other label. Schizophrenics vary in the intensity of their disturbance. Some are totally withdrawn, unable to interact with other people. Others can function in society but are severely limited in certain areas. All, however, fail to function at the level of their capabilities. The disturbance appears to run in families, but it is not known precisely whether it is inherited or is a genetic predisposition that expresses itself in a specific environment. If the cause of onset is diagnosed correctly and institutionalization is brief, treatment has been known to be possible and effective.

真正的偏执狂（与精神分裂症相关）很少见，但偏执倾向却很常见。偏执的人会觉得全世界都在与他们作对，周围的人都在监视他们，并意图伤害他们。有些人还会自认为是伟人，名声显赫（“自大妄想症”），并将周围人的迫害归咎于嫉妒。

True paranoia (which exhibits links to schizophrenia) is rare, but paranoid tendencies are frequent. Persons who are paranoid feel that the world is against them and that people around them spy on them and intend to do them harm. Some also believe themselves to be great and famous personages (“delusions of grandeur”) and attribute their persecution by those around them to envy.

任何上述形式的精神病都可能导致患者产生幻觉。这类患者可能会听到原本不存在的声音，这是对现实的错误认知；或者，他们可能会对自己或他人产生妄想，这是对现实的曲解。有些人甚至长年生活在想象的世界中。简而言之，对他们来说，现实与想象的界限变得如此模糊，以至于他们无法区分彼此。

Any of the preceding forms of psychosis may cause the affected person to hallucinate. Such a person may be certain of hearing voices where there are none, which is a wrong perception of reality, or may have delusions about themselves or others, which is a misinterpretation of reality. Some live for years in an imagined world. In short, for them the distinction between the real and the imagined becomes so blurred that they fail to distinguish one from the other.

图片 6.2那些因心理障碍而行为失常的人在社会上通常不会有好的表现。精神病院往往是一个非常令人沮丧的地方。

IMAGE 6.2 Those who are deviant as a result of psychological dysfunctions have never fared well among the rest of societal members. Mental hospitals tend to be very depressing places.

躁狂抑郁症（正式名称为双相情感障碍）的特征是焦虑和严重抑郁，以及无缘无故的快乐或欣快感。这些情绪波动可能随时发生。双相情感障碍患者主要对自己构成威胁：在抑郁状态下，他们可能会尝试自杀；而在躁狂状态下，他们可能会承担超出自身能力的任务。幸运的是，目前已有药物可以有效稳定这种精神病。

Anxiety and severe depression, on the one hand, and unprovoked happiness or euphoria, on the other, characterize manic-depression, formally called bipolar disorder. These mood swings can occur from one moment to the next. People with bipolar disorder represent a threat mainly to themselves: in their depressed states they may attempt suicide, whereas in their manic states they may take on tasks beyond their capacity. Fortunately, drugs are available that stabilize this psychosis fairly well.

人格障碍的治疗

Treatment of Personality Disorders

本世纪，随着人们对精神障碍本质的认识不断加深，以及医学和心理学领域知识的不断积累，精神障碍的治疗取得了显著进展。然而，许多精神障碍患者仍未得到治疗，原因要么是他们无力承担治疗费用，要么是治疗无效。以下是主要的治疗方式：

There have been dramatic improvements in the treatment of mental disorders in this century, as people have become more aware of the nature of these disorders and as medicine and the disciplines of psychology have attained more knowledge. However, a great many of those afflicted by mental disorders are not being helped, either because treatment is not within their means or because it is ineffective. The following are the major forms of treatment:

1. 心理治疗。这包括精神分析、团体治疗、家庭治疗、沟通分析以及其他各种形式的分析。所有这些形式的共同点在于，它们不涉及任何身体接触，也不使用药物。治疗仅仅是患者与治疗师之间的言语交流。

1. Psychotherapy. This includes psychoanalysis, group therapy, family therapy, transactional analysis, and various other forms of analysis. All these forms have in common the fact that nothing physical goes on, nor are drugs given. The therapies are simply verbal exchanges between patient or patients and therapist.

2. 行为疗法。这种疗法基于条件反射原理，强调通过奖励和惩罚来改变行为。

2. Behavior therapy. Based on the principle of conditioning, this kind of therapy stresses the modification of behavior through rewards and punishment.

3. 精神药理学。这种疗法有时与其他疗法结合使用，使用药物和化学物质来治疗精神障碍的症状。

3. Psychopharmacology. Sometimes used in conjunction with other therapies, this form uses drugs and chemicals to treat symptoms of mental disorders.

4. 催眠疗法。这种疗法利用催眠——潜意识暗示——来治疗精神障碍。

4. Hypnotherapy. This treatment uses hypnosis—subconscious suggestions—to deal with mental disorders.

5. 电休克疗法。这种疗法非常痛苦，可能导致记忆丧失和学习障碍，曾在电影和文学作品中广为流传，因为一些不道德的治疗师用它来惩罚病人。然而，它已失去许多可信度，使用频率也不像以前那么高了。它是指用强烈的电流冲击患者的颅脑区域。这种方法通过抑制神经元活动来发挥作用，并且在某些重度抑郁症患者中取得了疗效。

5. Electroconvulsive shock therapy. This type of treatment, which is very painful and can cause loss of memory and learning disabilities, has been popularized in the movies and in literature because unethical therapists have used it to punish patients. However, it has lost much credibility and is not used as frequently as in previous years. It consists of subjecting patients to severe jolts of electricity to the cranial area. The method works by suppressing neuron activity, and it has been effective in some cases of severely depressed patients.

20世纪30至40年代，额叶白质切除术等精神外科手术曾被誉为治疗严重精神障碍的良方，但它常常导致患者完全丧失功能，有时甚至加剧攻击性行为。因此，这种手术如今已不再用于治疗心理障碍。

In the 1930s and 1940s, psychosurgery in the form of frontal lobotomy was hailed as a method for treating severe mental disorders, but it often left patients totally dysfunctional and at other times increased aggressive behavior. As a result, the operation is no longer performed for psychological disorders.

偏差行为的心理学解释

Psychological Explanations of Deviant Behavior

西格蒙德·弗洛伊德的著作（参见第五章）使得对偏差行为的心理学解释在本世纪变得非常流行。弗洛伊德认为，人们生来就具有攻击性和性欲倾向，这些驱动力具有潜在的破坏性，因此必须加以抑制。抑制作用通过自我（自我）和超我（超我）的发展而实现。自我引导人们以社会认可的方式解决生理需求；超我则是一种良知，它禁止个体习以为常的行为。

Psychological explanations of deviance have become very popular in this century as a result of Sigmund Freud’s work (see Chapter 5). Freud assumed that people are born with tendencies toward aggression and sexuality, drives that are potentially destructive and thus must be inhibited. Inhibition occurs through the development of the ego, which directs people to solve physical needs in socially approved ways, and of the superego, a kind of conscience that prohibits behavior that the individual has learned to consider wrong.

按照弗洛伊德的理论，当超我发展不足，无法将其意志强加于人格的另一组成部分——本我（未开化且原始）时，就会出现偏差行为。偏差也可能是超我过度发展的结果，在这种情况下，人们会以偏差的方式行事，为自己招致惩罚，因为他们认为自己不应该经历那些驱力，即使他们成功地抑制了这些驱力。

In the Freudian scheme, deviant behavior occurs when the superego is not sufficiently developed to be able to impose its will on the other component of the personality, the id, which is uncivilized and primitive. Deviance may also be the result of an overdeveloped superego, in which case people act in a deviant way to bring punishment on themselves for the drives they feel they should never have experienced, even if they inhibited them successfully.

心理学理论与生物学理论相似，也遵循医学模型，认为偏差是由精神缺陷、异常或疾病引起的。但它们更为复杂，因为它们认识到原因与结果不可分割。毫无疑问，精神疾病可能导致容易被认为是偏差的行为。但精神疾病也被用来为偏差行为寻找合理性。酗酒、吸毒、虐待儿童以及出于贪婪或经济利益以外的原因而犯罪，常常被归咎于精神疾病。事实上，司法系统甚至利用这种合理化解释来免除某些罪犯的惩罚。

Psychological theories resemble biological theories and follow a medical model in that they assume deviance is caused by mental defects, abnormality, or illness. But they are more sophisticated in that they recognize that one cannot separate the cause from its effect. There is little doubt that mental illness may cause behavior easily perceived as deviant. But mental illness is also used as the rationalization for deviant behavior. Alcoholism, drug addiction, child abuse, and crimes committed for reasons other than greed or financial gain are often attributed to mental illness. In fact, the judicial system uses this rationalization to exonerate certain criminals from punishment.

偏差的社会学解释

Sociological Explanations of Deviance

越来越清楚的是，并非所有异常者都是精神病患者，也并非所有精神病患者都是异常者。生物学和心理学理论及其变体——认为异常是由持续深刻的挫折引发的攻击行为所致，或认为异常源于与发育不良的超我或良心有关的无意识过程，或认为异常是一种疾病或先天缺陷——很难通过实证检验。这些理论没有考虑到异常的相对性质以及社会对异常的解读所起的作用。它们过于关注行为本身——异常——和行为者——异常者，而没有足够关注行为者所处的舞台——社会。至少，社会学家是如此认为的。

As is becoming clear, not all deviants are mentally ill, nor are all mentally ill persons deviant. The biological and psychological theories and their variants—that deviance is caused by aggression triggered by constant and profound frustration, or that it originates in unconscious processes having to do with an improperly developed superego or conscience, or that it is a form of disease or birth defect—are very difficult to test empirically. They fail to take into account the relative nature of deviance and the role played by social interpretations of deviance. They focus too exclusively on the act—deviance—and the actor—the deviant—and not enough on the stage—society—on which the actor performs. At least, this is so in the opinion of sociologists.

人类行为无法由单一因素解释。它总是多种因素共同作用的结果，其中一些是遗传因素，一些是社会因素。专注于人类互动的社会学家认为，所有人类行为，包括偏差行为，都是人们所处的社会组织类型、他们所构建的社会结构以及他们所参与的社会过程的产物。因此，这里的重点不仅在于表演和演员，还在于场景、布景、剧本和观众。

There is no single-factor explanation for human behavior. It is always the result of a variety of factors, some of a genetic and some of a social nature. Sociologists, who focus on human interaction, maintain that all human behavior, including deviant behavior, is a product of the type of social organization in which people live, of the social structures they erect, and of the social processes in which they are involved. The focus here is not only on the act and the actor, then, but also on the set, the scenery, the script, and the audience.

社会融合与失范：功能主义的观点

Social Integration and Anomie: A Functionalist View

最早从社会学角度解释越轨行为的尝试之一出现在埃米尔·涂尔干 (1897/1951/1966) 的著作中。这位十九世纪的社会哲学家提出了“失范”的概念，他将其定义为一种无规范状态。当既定的行为规则不再有效、相互冲突或薄弱时，这种状态就会弥漫在个体身上。这种情况在危机或社会快速变革时期就会出现。在这种时候，人们会感到困惑，因为以前指导他们生活的旧规范不再有效。在这样的社会中，人们被认为在文化和社会上融合得松散，因为他们未能就规范和价值观达成一致，因此对行为感到困惑。显然，在这种情况下，个人很容易出现越轨行为。当我们比较同质且文化高度融合的社会（例如芬兰）与异质且融合松散的社会（例如美国）的犯罪率时，会发现犯罪率的巨大差异。

One of the earliest attempts to explain deviance from a sociological perspective was put forth in the work of Emile Durkheim (1897/1951/1966). This nineteenth-century social philosopher introduced the concept of anomie, which he defined as a condition of normlessness that pervades individuals when the established rules of behavior are no longer valid, are conflicting, or are weak. Such conditions develop in times of crisis or rapid social change. At such times, people are confused because old norms that formerly gave structure to their lives are no longer effective. Individuals in such societies are said to be loosely integrated culturally and socially because they fail to agree on norms and values and are consequently confused about behavior. Obviously, in these circumstances, individuals are vulnerable to deviance. A great disparity in crime rates is noted when we compare the crime rates of homogeneous and highly culturally integrated societies—for instance, Finland—and those of heterogeneous and loosely integrated ones, such as the United States.

一个高度失范的社会面临崩溃的危险，因为维系社会的粘合剂失去了凝聚力。人们不再拥有共同的目标。价值观。他们对是非对错没有共识。他们没有向孩子灌输相似的价值观——事实上，许多人根本没有灌输任何价值观，导致孩子在成长过程中迷失方向。这种忽视的后果之一就是青少年暴力行为增多，尤其是那些看似毫无缘由、毫无意义的暴力行为。

A society with a high degree of anomie is in danger of falling apart because the cement that holds it together loses its ability to bond people. People no longer share goals and values. They do not agree on what constitutes right and wrong. They do not impart similar values to their children—in fact, many do not impart any values at all, leaving children to grow up directionless. One of the results of such neglect is the increase in violent behavior on the part of the young, particularly in violent action that seems to have no provocation and that makes little sense.

失范现象可能是美国内城区和贫民窟高犯罪率的原因之一。此外，毒品泛滥、利润丰厚，以及枪支在我们社会中唾手可得，也加剧了犯罪率的上升。其他原因还包括贫困、社会紧张和绝望，这些状况已经困扰了内城区好几代人。组建帮派来取代功能失调或不复存在的家庭，以及要求年轻男性强硬行事以证明自己男子气概的街头道德，也被认为是暴力事件的诱因。

Anomie may be one of the causes of the high rates of crime in inner cities and slum areas in the United States. This is coupled by the pervasive presence of drugs and their high profitability, as well as the ease of obtaining guns in our society. Additional causes that have been suggested include poverty, social tension, and hopelessness, conditions that have afflicted inner cities for many generations. The tendency to form gangs to take the place of dysfunctional or nonexistent families and a street ethic that requires young men to act tough to prove their manhood are also cited as causes of violence.

默顿的偏差行为分类

Merton’s Classification of Deviant Behavior

罗伯特·默顿（1938，1968）扩展了“失范”的概念，他将失范理论应用于各种形式的越轨行为。默顿认为，越轨行为是社会体系失衡的结果，是社会为其成员设定的目标与社会为实现这些目标所提供的资源之间的差距。这种差距会产生压力，最终导致越轨行为。

The concept of anomie has been expanded by Robert Merton (1938, 1968), who has applied anomie theory to a variety of forms of deviant behavior. Merton sees deviant behavior as the consequence of a lack of balance in the social system, as a gap between what the society sets up as goals for its members and the means that it puts at their disposal for reaching them. This gap produces strains that can result in deviant behavior.

美国社会将取得成功（通常用经济学术语来说就是积累财富）作为其最重要的目标之一。实现这一目标的社会公认方式是要么出生于富裕家庭，要么接受教育或培训，掌握能够保证就业或创业的技能。显然，并非所有人都出生于富裕家庭，而且接受教育和培训也并非易事。高等教育费用昂贵，而且所需的智力并非人人都能获得。即使最好的教育和培训也不能保证成功。因此，相当一部分渴望成功的人无法通过可接受的途径获得成功。这些人可能会陷入失范，并在受挫后采取各种越轨行为——社会不可接受的手段——来实现他们内化的社会目标（见表6.1）。

American society sets up as one of its most important goals the achievement of success, usually translated into economic terms as the attainment of wealth. The socially accepted ways of satisfying that goal are either to be born into a wealthy family, to be educated or trained into acquiring skills that will guarantee employment or entrepreneurship. Obviously, not all persons are born into wealthy families, and education and training are also difficult to attain. Higher education is expensive and requires intellectual ability that is not universal. And even the best education and training do not guarantee success. Consequently, a substantial segment of the population who wants to be successful is denied access to success through the acceptable ways. Such people may experience anomie and, in frustration, may turn to various forms of deviance—socially unacceptable means—to achieve the desired societal goals that they have internalized (see Table 6.1).

表 6.1 罗伯特·默顿的偏差理论

TABLE 6.1 Robert Merton’s Theory of Deviance

默顿的行为分类基于人们对文化目标或实现这些目标的手段的接受或拒绝。他的理论相当笼统，但影响深远，并衍生出许多更具体的理论。艾伯特·科恩（1955）断言，帮派通常由下层阶级的年轻人组成，他们无法获得中产阶级的成功途径。青少年帮派成员通过偏离社会规范、遵循帮派规范，在同龄人中取得成功。犯罪学家克洛沃德和俄林（1960）也使用失范理论，认为帮派为其成员提供一种他们无法通过社会认可的手段获得的体面地位。研究人员将青少年帮派分为三个亚文化群体：犯罪派，对物质利益感兴趣；冲突派，涉及领土争端；现实主义者，使用酒精和毒品将成员凝聚在一起。在这三种类型中，无论社会上其他人如何看待他们，成员都觉得自己取得了成功。

Merton’s classification of behavior is based on people’s acceptance or rejection of either the cultural goals or the means of achieving them. His theory is quite general, but it has been very influential and has given origin to many more specific theories. Albert Cohen (1955) asserts that gangs are usually made up of lower-class youths to whom the middle-class means of achieving success are not available. Youth gang members achieve success among their peers by deviating from society’s norms to follow gang norms. Criminologists Cloward and Ohlin (1960) also use anomie theory to suggest that gangs supply their members with a respectable status that they cannot obtain through socially approved means. The researchers classify juvenile gangs into three subcultural groups: the criminal, interested in material benefits; the conflict, involved in territorial squabbles; and the realist, using alcohol and drugs to bind its members together. In all three types, the members feel that they are achieving success despite what others in the society think of them.

然而，失范理论并不能解释所有形式的偏差行为。它关注的是社会而非个人，认为偏差行为的根源在于社会。它假设社会中存在着一种价值观上的共识，而这种共识在现实中并不像默顿所暗示的那样存在。

The anomie theory, however, does not explain all forms of deviance. It focuses on society as the source of deviance, rather than on the individual. It assumes that there is an agreement on values in the society that does not exist, in reality, to quite the extent Merton implied.

文化传播（差异联想）：互动论视角

Cultural Transmission (Differential Association): Interactionist Perspective

文化传递理论，又称差异交往理论，是一种学习理论，因为它基于这样一个命题：偏差行为是通过符号互动习得的，就像所有其他人类行为一样。同样，正如一般学习一样，偏差行为的习得最有效，发生在家庭、同龄群体和邻里等小型亲密的初级群体中。与自身存在偏差行为的人互动，会学习偏差行为的技巧和合理化解释，以及从偏差行为的视角理解法律、财产和人权。

The cultural transmission theory, also called the differential association theory, is a kind of learning theory, as it is based on the proposition that deviance is learned through symbolic interaction, much as all other human behavior. Again, as is true of learning in general, the learning of deviance occurs most effectively in small, intimate primary groups such as the family, the peer group, and the neighborhood. The individual interacting with people who are themselves deviant learns deviant techniques and rationalizations for deviant acts, as well as conceptions of law, property, and human rights from a deviant perspective.

根据埃德温·萨瑟兰（Edwin Sutherland，1949，1961）的研究，以下因素会影响一个人的越轨行为：

According to Edwin Sutherland (1949, 1961), the following factors influence an individual’s becoming deviant:

1. 与他人交往的强度——无论他们是朋友、亲戚还是仅仅是熟人。

1. The intensity of association with others—whether they are friends and relatives or merely acquaintances.

2. 互动发生的年龄——儿童和青少年比成年人更容易受到影响。

2. The age at which interaction takes place—children and adolescents are more impressionable than older individuals.

3.交往频率——与异常者交往越多，受其影响越大。

3. The frequency of association—the more one associates with deviants, the more one is influenced by them.

4.接触时间——与异常者交往的时间越长，获得异常倾向的可能性就越大。

4. The duration of contact—the longer the association with deviants, the better the chance of acquiring deviant tendencies.

5. 接触人数——一个人认识的越是越离经叛道的人，他反过来也成为越离经叛道者的可能性就越大。

5. The number of contacts—the more deviants an individual knows, the better the chance of becoming deviant in turn.

然而，成为越轨者并不仅仅是因为有“坏伙伴”的问题，而是一个人为了满足自身需求而做出的选择的问题。

Becoming deviant, however, is not simply a matter of having “bad companions.” Rather, it is a matter of the choices an individual makes in response to his or her needs.

该理论的一个含义是，一个拥有众多亚文化的社会（异质性社会）会因为人们的价值观、规范和目标不尽相同而导致越轨行为的发生率更高。亚文化群体的成员可能对自己群体的忠诚度高于对主流群体或主流文化的忠诚度，而主流文化群体的成员则可能将某些亚文化的价值观和规范视为越轨行为。

One implication of this theory is that a society with a number of subcultures (a heterogeneous society) has higher rates of deviance because people do not share the same values, norms, and goals. Members of subcultures may also feel a greater loyalty to their own group than to the majority group or dominant culture, whereas members of the dominant culture may perceive some subcultural values and norms as deviant.

文化传播理论的核心在于，偏差行为是后天习得的，这一点很重要。然而，它忽略了这样一种可能性：某些偏差行为不仅可能从人身上习得，也可能从思想中习得。有些人可能会在阅读了宣扬纳粹意识形态的作家的作品后加入像美国纳粹党这样的团体。律师和经常与越轨者打交道的社会工作者很少会从案主身上学到越轨行为，或者至少很少会付诸行动。最后，众所周知，与非越轨者交往所获得的知识可以用于越轨行为。为了牟利而非法贩卖药品的药剂师，其行为并非从越轨者身上学到的。因此，该理论只能部分解释为什么有些人会学习越轨行为，而另一些人却不会，而且它并未触及特定行为被定义为越轨行为的原因。

The focus of the cultural transmission theory, that deviance is learned, is important. However, it overlooks the possibility that some forms of deviance may be learned not only from people but also from ideas. Some individuals may join groups like the American Nazi Party after reading works by authors who espouse the Nazi ideology. Lawyers and social workers who have frequent dealings with deviants seldom learn deviant behavior from their clients, or at least they seldom act on it. And finally, it is also known that knowledge gained from associating with non-deviants can be used in a deviant way. A pharmacist who sells drugs illegally for gain is engaging in deviant behavior that he or she did not learn from deviants. Thus, the theory explains only partially why some people learn deviance and others do not, and it does not touch on the reasons for specific behaviors being defined as deviant.

标签理论

Labeling Theory

标签理论代表了对偏差行为的构成以及如何定义偏差行为的另一种理解。这种方法强调个体被贴上偏差标签的过程，以及个体被贴上标签后会受到何种对待，而非个体本身的行为。标签理论家提出的一些问题包括：群体如何将某个特定个体定义为偏差行为？群体成员如何调整他们对被定义为偏差行为个体的反应和互动？群体成员行为的改变对偏差行为个体有何影响？

A different conception of what constitutes deviant behavior and how people are defined as being deviant is represented by the labeling theory. This approach places an emphasis on the process by which an individual is labeled as deviant and on how the individual is treated as a consequence of having been so labeled, rather than on the behavior of the person. Some of the questions asked by labeling theorists are: How does the group come to define a specific individual as deviant? How do the members of the group modify their reactions and interactions with an individual defined as deviant? What are the effects of the changed behavior of group members on the deviant individual?

霍华德·贝克尔（Howard Becker，1963）是一位社会学家，他对标签理论的创立做出了重要贡献。他认为，我们每个人都会在某个时刻犯下偏差行为。这种原发性偏差是暂时的、无关紧要的、由好奇心引发的，并且很容易被掩盖。原发性偏差的例子包括：一位初级主管虚报费用，一位客人从酒店房间拿走毛巾，或者一位年轻人有过一次同性恋经历或尝试过非法毒品。这类行为通常不会被他人发现，而肇事者也不认为自己是偏差行为。

Howard Becker (1963), a sociologist who was instrumental in developing the labeling theory, maintains that all of us are guilty of deviant behavior at one time or another. This primary deviance is temporary, unimportant, prompted by curiosity, and easily concealed. Examples of primary deviance are a junior executive who pads an expense account somewhat, a guest who takes a towel from a hotel room, or a youth who has one homosexual experience or tries an illegal drug. Such behavior is usually not discovered by others, and the perpetrators do not consider themselves deviant.

然而，在某些情况下，这种行为会被父母、朋友、雇主或雇员、学校管理人员、老师或警察发现。施暴者随后便会被贴上“越轨者”的标签。他们被指控、被训斥，并经常在贝克尔所谓的“贬低仪式”中受到惩罚。他们被灌输一种道德观念，认为自己在道德上不如指控者，并被贴上“疯子”、“怪人”、“同性恋”等等带有贬义的标签。其他人会根据这些标签对这些被贴上标签的人做出反应，仿佛他们就是标签所指的那个人。最终，被贴上标签的人会接受这些标签，改变自我概念以迎合他人对自己的反应，并开始将这些标签付诸行动。此时，他们的行为就成了次级越轨，并成为习惯。

In some circumstances, however, the act is discovered, perhaps by parents, friends, employers or employees, school administrators, teachers, or the police. The perpetrators are then on the way to becoming labeled as deviants. They are accused, sermonized, and often punished in what Becker calls a “degradation ceremony.” They are made to feel that they are morally inferior to their accusers and are called by such unflattering labels as “nuts,” “weirdos,” “queers,” and so on. Other people, in response to these labels, react to the labeled individuals as if they were in reality what the labels indicate. Eventually, the labeled individuals come to accept these labels, altering their self-concepts to fit the reaction of others to themselves, and they begin to act them out. Now their behavior is secondary deviance and becomes habitual.

此时，在被贴上“越轨者”的标签并接受标签后，违规者的生活发生了新的转变。他们被非越轨者污名化（被指出、孤立、回避），被迫与其他越轨者为伍，这强化了他们的行为。由于缺乏出路，他们很快就踏上了越轨之路，因为越轨成了他们的主人。被贴上标签的人的生活变成了一个自我实现的预言。这与符号互动论者的观点相符，他们认为社会化是一个自我显现的过程，其特征是他人反应的反映（参见第五章）。

At this point, after being labeled as deviants and accepting the label, the offenders’ lives take a new turn. They are stigmatized (pointed out, isolated, avoided) by non-deviants and forced to seek the company of other deviants, which reinforces their behavior. Lacking a way out, they are well on their way to a deviant career, inasmuch as being deviant becomes their master status. The labeled person’s life becomes a self-fulfilling prophecy. This is in keeping with the view that socialization is a process in which the self emerges and is characterized by the reflected reactions of others: the symbolic-interactionist perspective (see Chapter 5).

标签理论对研究偏差行为的学者很有帮助，因为它表明只有特定的人或行为才会被标记为偏差行为，但该理论也有其缺陷。标签并非总是如此：许多从未被发现的人仍然继续以偏差的方式行事。难道因为其他人不知道他们的偏差行为，他们的偏差程度就降低了吗？该理论也忽略了一个事实，即一些偏差行为者实际上可能会因为标签过程而改变其行为，并因此改变其行为以符合规范（Liazos，1972）。更多标签理论的例子以及本文提到的理论概述可以在网上找到。

The labeling theory has been helpful to students of deviance because it shows that only certain people or actions are selected for labeling as deviant, but the theory has its shortcomings. Labeling is not always involved: many persons who are never discovered nevertheless continue to act in a deviant fashion. Are they any less deviant because others do not know about their deviance? The theory also overlooks the fact that some deviants may actually be jolted out of their behavior by the labeling process and as a consequence may be moved to change their behavior to conform to norms (Liazos, 1972). Further examples of the labeling theory, as well as an overview of the theories mentioned here, may be found online.

犯罪：伤害性的偏差

Crime: Deviance That Hurts

大多数人把越轨行为等同于犯罪，但这两者当然并非一回事，正如前述讨论所阐明的。每个人或多或少都会在某个时期表现出越轨行为，但并非每个人都是罪犯。罪犯在社会中只占少数，但他们所犯下的行为却极具破坏性，因此犯罪和罪犯在公众心目中占据着非常重要的地位。

Most people equate deviance with crime, but of course the two are not the same, as the foregoing discussion should have made clear. Everyone is deviant to some extent or other, at one time or another, but not everyone is a criminal. Criminals represent only a small minority of people in society, but the acts they perpetrate are very damaging, so that crime and criminals are very much on the public’s mind.

在大多数当代社会中，非正式的社会控制不足以遏制越轨行为。因此，必须建立正式的社会控制。正式的社会控制之一是颁布法规或法律，规定成员因对社会破坏性过强而被禁止的行为。这些被禁止的行为被称为犯罪，并由社会通过司法系统进行惩罚。

In most contemporary societies, informal social control is not sufficient to contain deviance. Therefore, formal social controls must be instituted. One type of formal social control is the enactment of statutes, or laws, that define the actions that are prohibited to members because they are too destructive to the society. The prohibited actions are termed crimes and are punished by the society through its judicial system.

因此，犯罪是指任何违反法律的行为。法律是由地方、州和联邦等各级政府制定的。法律与不成文的社会规范不同，在于：(1) 法律由政治权威制定；(2) 法律是具体的规则，而非非正式的谅解；(3) 法律的适用范围是统一的；(4) 法律附带具体的惩罚性制裁；(5) 法律由社会官方机构执行。

Crime, then, is any action that violates the law. Laws, in turn, are passed at a variety of governmental levels: local, state, and federal. Laws differ from the unwritten societal norms in that (1) they are put into effect by political authority, (2) they are specific rules instead of informal understandings, (3) they are applied uniformly, (4) they carry specific punitive sanctions, and (5) they are administered through official agencies of the society.

尽管犯罪和惩罚有明确的定义，但它们也是相对的，种类和程度各不相同。其中一项区别是成年人的犯罪行为与18岁以下青少年的犯罪行为。这种区别是基于这样一种信念：未成年人尚未完全社会化（但如果他们犯下特别严重的罪行，刑事司法系统可能会将青少年视为成年人）。

Even though crimes and punishments are specifically defined, they too are relative, varying in kinds and extent. One distinction is made between criminal behaviors on the part of adults as opposed to juveniles under 18 years of age. The distinction is based on the belief that minors are not yet fully socialized (but if they commit an especially serious crime, juveniles may be treated as adults by the criminal justice system).

另一个区别在于所谓的指标犯罪（index crimes）与法律条文认定为犯罪但大多数人并不认同的行为。指标犯罪涉及违反道德规范的行为，包括谋杀（包括杀人、故意杀人和非故意杀人）、强奸、抢劫、严重人身攻击、入室盗窃、偷窃、纵火和汽车盗窃。大多数人忽视的犯罪行为包括禁止按杯出售酒精饮料（尽管可以购买瓶装酒）的地区性禁令，以及55英里/小时的限速（这曾是联邦法律，仅在有警车时才被遵守）。

Another distinction is between the so-called index crimes and actions that are considered crimes by the legal codes but not by a majority of people. The index crimes involve the violation of mores and include murder (including homicide, voluntary manslaughter, and involuntary manslaughter), rape, robbery, aggravated assault, burglary, larceny, arson, and auto theft. Crimes that most people ignore range from the regional prohibition to serve alcohol by the glass, although one can buy bottles, to the 55-mile-per-hour speed limit, which was a federal law for a few years and was observed only when a police car was in sight.

犯罪分类

Classification of Crimes

犯罪行为范围广泛，涉及各种群体。大多数犯罪行为可归为以下类别之一。

Criminal behavior ranges over a very wide spectrum and is perpetrated by individuals belonging to a large variety of groups. Most crimes fit into one of the following categories.

人身犯罪。这类犯罪几乎总是涉及暴力，以及使用或威胁使用武力伤害受害者，因此也是人们最担心的犯罪。暴力犯罪包括谋杀、非过失杀人、强奸、抢劫和严重袭击。

Crimes against Persons. These crimes almost always involve violence and the use or threat of force to injure victims and are, therefore, the ones most feared by people. Violent crimes include murder and non-negligent homicide, forcible rape, robbery, and aggravated assault.

侵犯财产罪。这类犯罪不涉及对受害者进行武力威胁或伤害；相反，犯罪者的目标是通过非法手段获取或破坏财产。财产犯罪包括入室盗窃、盗窃、机动车盗窃和纵火。

Crimes against Property. These crimes do not involve the threat of force or injury to victims; rather, the goal of perpetrators is to gain possession of, or to destroy, property by unlawful means. Property crime includes burglary, larceny-theft, motor vehicle theft, and arson.

青少年犯罪。这指的是未成年人违法的行为。过去十年，我们目睹了越来越多的年轻人犯下暴力犯罪。不仅有青少年杀害教师和同学的案例，还有10岁和12岁的孩子残忍地杀害更小的儿童。青少年也参与了帮派犯罪活动。

Juvenile Delinquency. This refers to violations of the law by minors. In the last decade, we have witnessed a number of violent crimes perpetrated by ever-younger persons. Not only have there been instances of teens killing teachers and fellow students, but 10- and 12-year-olds have brutally murdered younger children. Juveniles have also been engaged in criminal behavior as members of gangs.

偏见分解

Bias Breakdown

图 6.2

FIGURE 6.2

FBI仇恨犯罪统计数据www.fbi.gov/news/stories/2014/december/latest-hate-crime-statistics-report-released

FBI Hate Crime Statistics www.fbi.gov/news/stories/2014/december/latest-hate-crime-statistics-report-released

仇恨犯罪。联邦调查局报告基于种族、宗教、民族、残疾和性取向而犯下的犯罪。

Hate Crimes. The FBI reports crimes committed on the basis of race, religion, ethnicity, disability, and sexual orientation.

正如我们所见，大多数社会学家倾向于将社会因素归咎于偏差行为的起因，从而也归咎于犯罪。他们的研究表明，成为少年犯的儿童比未成为少年犯的儿童遭受严厉且不稳定的管教的频率要高出三到四倍。这些儿童的言语智商平均比正常人低八分，这是由于产前因素造成的，例如母亲在怀孕期间吸毒酗酒，这会损害胎儿的中枢神经系统；或者因为他们接触了高浓度的铅，例如油漆剥落和汽车尾气。后者已知会降低智商并损害注意力，使儿童易患多动症，而多动症是青少年犯罪的一种预兆。当他们上一年级时，这些孩子还没有做好学习的准备。 “他们比其他孩子更具攻击性，存在行为问题，阅读成绩低下，这种模式在三年级时更加根深蒂固，此时这些孩子会被标记为问题儿童，并被安排进入特殊教育班。早在三年级，他们就被贴上标签，处于社会劣势”（Goleman，1992，B5，B8）。在这种情况下，标签理论或许可以解释他们的犯罪倾向。因此，他们可能更倾向于与自身相似的人交往（差异交往理论），或者他们可能使用非法手段来实现那些通过合法手段无法实现的社会目标（失范理论）。

As we have seen, most sociologists tend to assign social factors to the causes for deviance, and therefore to crime. Their research shows that children who become juvenile delinquents tend to have experienced harsh and erratic discipline three to four times more often than children who do not become delinquent. Such children tend to have, on average, a verbal IQ eight points lower than the norm because of prenatal factors, such as a mother who abuses drugs and alcohol during pregnancy, a fact known to damage the central nervous system of the fetus; or because they were exposed to high levels of lead from peeling paint and auto fumes. The latter factors are known to lower IQ and impair concentration, predisposing children to hyperactivity, a pattern predictive of crime in adolescence. When they arrive in first grade, such children are unprepared to learn. “They are more aggressive than other kids, have conduct problems, and low reading achievement, a pattern that solidifies by third grade, at which point these youngsters get marked as problems and put in special education classes. As early as third grade, they are stigmatized, and at a social disadvantage” (Goleman, 1992, B5, B8). The labeling theory, in this case, may explain their criminal proclivities. Subsequently, they may prefer to associate with others like themselves (differential association theory), or they may use illegal means to reach the societal goals that become impossible to reach by legal means (anomie theory).

表 6.2 2013 年按犯罪类型划分的事件、犯罪、受害者和已知罪犯

TABLE 6.2 Incidents, Offenses, Victims, and Known Offenders by Offense Type, 2013

¹实际发生的事件数量为 5,928 起。但是，由于事件可能包含多种违法行为类型，并且会按相应的违法行为类型类别进行统计，因此列中的数字不会计入总数。

¹The actual number of incidents is 5,928. However, the column figures will not add to the total because incidents may include more than one offense type, and these are counted in each appropriate offense type category.

²“受害者”一词可能指个人、企业、机构或整个社会。

²The term victim may refer to a person, business, institution, or society as a whole.

³“已知罪犯”一词并不意味着嫌疑人的身份已知，而仅指嫌疑人的特征已被识别，从而将其与未知罪犯区分开来。已知罪犯的实际人数为5,814人。然而，由于某些罪犯犯有多种犯罪类型，因此在本表中被多次统计，因此列中的数字不会计入总数。

³The term known offender does not imply that the identity of the suspect is known, but only that an attribute of the suspect has been identified, which distinguishes him/her from an unknown offender. The actual number of known offenders is 5,814. However, the column figures will not add to the total because some offenders are responsible for more than one offense type, and are, therefore, counted more than once in this table.

⁴本行显示的强奸犯罪数据仅包含执法机构使用修订后的统一犯罪报告 (UCR) 强奸定义的报告数据。更多解释请参阅数据声明。

⁴The figures shown in this row for the offense of rape include only those reported by law enforcement agencies that used the revised Uniform Crime Reporting (UCR) definition of rape. See the data declaration for further explanation.

⁵本行显示的强奸犯罪数据仅包含执法机构使用旧版UCR强奸定义的报告数据。更多解释请参阅数据声明。

⁵The figures shown in this row for the offense of rape include only those reported by law enforcement agencies that used the legacy UCR definition of rape. See the data declaration for further explanation.

⁶包括国家事件报告系统中收集的其他违法行为。请参阅方法论。

⁶Includes additional offenses collected in the National Incident-Based Reporting System. See Methodology.

资料来源：FBI 2013 年仇恨犯罪统计数据www.fbi.gov/about-us/cjis/ucr/hate-crime/2013/tables/2tabledatadecpdf/table_2_incidents_offenses_victims_and_known_offenders_by_offense_type_2013.xls。

Source: FBI 2013 Hate Crime Statistics www.fbi.gov/about-us/cjis/ucr/hate-crime/2013/tables/2tabledatadecpdf/table_2_incidents_offenses_victims_and_known_offenders_by_offense_type_2013.xls.

由于枪支泛滥导致毫无意义的野蛮谋杀案增多，青少年犯罪受到了更严格的审查。过去，无关紧要的冲突似乎可以通过拳击来解决，而如今，它们却诉诸枪战，而这往往会导致死亡。然而，研究反复表明，残忍的教训始于家庭，而武器的存在只会加剧这种教训。心理学家查尔斯·尤因在《杀人的孩子》一书中指出，许多看似毫无动机犯罪的年轻人，即使他们很少承认自己曾经是受害者，也往往遭受过性虐待或身体虐待。看来，要虐待他人，年轻人必须先遭受虐待。虐待、忽视、不稳定以及无人关心的感觉几乎肯定会使人只顾眼前的满足，而不在乎最终受害者是谁。枪支在我们社会的普及，促使愤怒和沮丧转化为谋杀和混乱。（有关枪支影响谋杀率的更多事实，以及枪支犯罪的估计和国际比较，请参见互联网。）

Because of the increase in senseless, savage murders resulting from the easy availability of guns, juvenile crime has been subjected to additional scrutiny. It appears that whereas in the past unimportant conflicts used to be settled with a fistfight, today they are settled with firepower, which often results in death. Over and over, however, research shows that lessons in cruelty start at home and are simply facilitated by the presence of weapons. In Kids Who Kill, psychologist Charles Ewing reports that many young people who commit seemingly motiveless crimes have themselves been sexually or physically abused, even though they seldom admit to having once been a victim. It seems that to abuse another human being, a youngster has to have been abused first. Abuse, neglect, instability, and a sense that no one cares are almost certain to create individuals who focus on their own immediate gratification, no matter who suffers as a result. The ease with which guns are available in our society helps to transform anger and frustration into murder and mayhem. (For additional facts on guns as they affect murder rates, as well as estimates of firearm crime and international comparisons, see the Internet.)

社会秩序罪或违反道德罪

Social Order Crimes or Crimes against Morality

赌博、卖淫、非法吸毒、流浪和公共场合醉酒等犯罪行为不会给他人造成身体上的痛苦，但却冒犯了大多数人的道德感。这些犯罪通常被称为无受害人犯罪，因为据称没有其他人受到伤害。然而，很明显，这类犯罪的受害者是犯罪者，而且往往是他们的家人。醉酒司机可能成为杀人凶手，酗酒者常常因失业或在醉酒期间遭受身体虐待而导致家人陷入贫困。吸毒者为了寻求下一种毒品可能会抢劫、盗窃和杀人，如果他们也贩毒，他们肯定会触犯法律。怀孕期间吸毒的妇女会成为她们的孩子的受害者，而这些孩子通常出生时就已上瘾或存在身体和行为问题。妓女会将自己置于危险的境地，很容易感染性病，包括艾滋病，而且很可能过着吸毒酗酒猖獗的生活，最终走向自我毁灭。这类妇女很少能拥有家庭生活，如果她们有了孩子，就被迫生活在不健康的环境中。

Criminal acts such as gambling, prostitution, illegal drug use, vagrancy, and public drunkenness do not impose physical suffering on others but offend the moral sensibilities of the majority. These crimes are often referred to as victimless crimes because no other person is allegedly hurt. However, it is obvious that such crimes make victims of the perpetrators and, very often, their families. Drunken drivers can become killers, and alcoholics frequently expose their families to poverty as a result of losing jobs or to physical abuse while intoxicated. Drug addicts can rob, burglarize, and kill in pursuit of their next fix, and they certainly get in trouble with the law if they also sell drugs. Women who abuse drugs while pregnant make victims of their babies, who are often born addicted or with physical and behavioral problems. Prostitutes subject themselves to dangerous situations, can easily acquire venereal diseases, including AIDS, and are likely to experience a lifestyle in which drug and alcohol abuse are rampant, leading to self-destruction. Family life for such women is rare, and if they have children, they are forced to live in an unhealthy environment.

图片 6.3针对个人的犯罪往往非常引人注目。2015 年 6 月 25 日，白人至上主义者迪伦·鲁夫在南卡罗来纳州查尔斯顿一座历史悠久的黑人教堂杀害了九人，这些哀悼者向遇难者表达敬意。

IMAGE 6.3 Crimes against persons are often dramatic. These mourners pay their respects to those who died in Charleston, South Carolina, when white supremacist Dylan Roof killed nine people in a historically black church on June 25, 2015.

©理查德·埃利斯/Corbis

白领犯罪。受人尊敬的人士（通常地位较高）在履行其职业职责时实施的犯罪行为被列为白领犯罪。联邦调查局将这些犯罪归类为非法行为，其特征是欺骗、隐瞒或违背信任，但不依赖武力或武力威胁。这些行为包括虚假广告、侵犯版权、诈骗、操纵股票、操纵价格、逃税、挪用公款、伪造和欺诈。个人和/或组织实施这些行为的目的是获取金钱、财产或服务；逃避缴纳税款或欠款；避免金钱或服务的损失；或获取个人或商业利益。这类犯罪比其他犯罪更容易被容忍，因为它们很少涉及暴力，而且作案者并非经验丰富的罪犯。然而，仅就金额而言，白领犯罪每年给社会造成的损失是其他四类主要财产犯罪的三倍。近年来，美国公众已经通过几家大型金融机构意识到了企业犯罪，但还有数千起案件涉及医疗保健欺诈、政府欺诈（例如，承包商向政府机构收取过高的工作、服务或制造物品的费用）、金融机构欺诈（例如，银行经理或员工贪污、支票欺诈、伪造、信用卡盗窃）、反垄断案件、价格操纵、洗钱、环境恶化和互联网欺诈，仅举几例。

White-Collar Crime. Criminal acts committed by respectable persons, often of high status, in the performance of their occupational roles are listed as white-collar crimes. The FBI categorizes these crimes as illegal acts that are characterized by deceit, concealment, or violation of trust but that are not dependent on force or threat of force. The acts include false advertising, copyright infringement, swindling, stock manipulation, price fixing, tax evasion, embezzlement, forgery, and fraud. These acts are committed by individuals and/or organizations to obtain money, property, or services; to avoid payment of taxes or money owed; to prevent a loss of money or services; or to secure a personal or business advantage. Such crimes are tolerated more than others because they seldom involve violence and are not committed by seasoned criminals. However, in sheer numbers of dollars, white-collar crime costs society three times more per year than the four other major categories of property crimes. In recent years, the American public has been made aware of corporate crime by several of the major financial institutions, but there are thousands of cases involving health care fraud, government fraud (e.g., contractors overcharging government agencies for work, services, or manufactured items), financial institution fraud (e.g., bank managers or employees embezzling, check fraud, counterfeiting, credit card theft), antitrust cases, price fixing, money laundering, environmental degradation, and Internet fraud, to mention just a few.

有组织犯罪。为最大限度地提高效率、最大限度地降低被捕和受罚的风险，由一群人组织起来进行的犯罪活动统称为有组织犯罪。有组织犯罪的宗旨是满足那些被社会理想规范和法律法规所禁止的人类欲望：成员提供卖淫场所和应召女郎服务、指挥非法赌博场所、提供毒品、制作和分发色情材料，以及向高风险借款人提供高利率贷款。

Organized Crime. The criminal activity of groups of individuals who are organized to maximize efficiency and minimize the danger of apprehension and punishment is collectively called organized crime. Organized crime is in the business of satisfying human wants that are prohibited by the ideal norms of society and by the legal codes: members provide houses of prostitution and call-girl services, direct illegal gambling establishments, furnish drugs, manufacture and distribute pornographic materials, and make loans to high-risk borrowers at steep interest rates.

图片 6.4白领犯罪不像其他犯罪那样令人反感，因为它很少涉及暴力。然而，这类犯罪不仅给社会和特定成员带来了经济损失，还践踏了道德和公平。例如，伯尼·麦道夫就因涉嫌操纵5000万美元的庞氏骗局而被捕并被指控。

IMAGE 6.4 White-collar crime does not evoke the same repulsion as other crimes because it seldom involves violence. Nonetheless, this type of crime costs the society and specific members of it not only in terms of lost money, but also because of the trampling of ethics and fair play. Bernie Madoff, for example, was arrested and charged with running a 50 million dollar Ponzi scheme.

©贾斯汀·莱恩/epa/Corbis

犯罪统计：犯罪数量有多少？犯罪者是谁？

Crime Statistics: How Much Crime, and Who Commits It?

联邦调查局每年都会汇编犯罪统计数据，并以《统一犯罪报告》（UCR）的形式发布。然而，联邦调查局报告的犯罪案件仅限于29个类别，并且仅关注八种指数犯罪。这些数字是根据全国各地警察局收到的犯罪报告汇编而成的。人们认为，实际犯罪率是报告犯罪率的两到三倍，因为许多犯罪案件从未被发现，甚至一些不太严重的犯罪案件也可能没有被举报。

Crime statistics are compiled annually by the Federal Bureau of Investigation and published as the Uniform Crime Reports (UCR). However, the crimes reported by the FBI are limited to 29 categories and focus only on the eight index crimes. These numbers are compiled from crimes reported to police departments throughout the nation. It is thought that the actual crime rate is two to three times higher than what is reported because many crimes are never detected and the less serious crimes may even go unreported.

另一种举报犯罪的方式是全国犯罪受害调查（NCVS）。该调查自1972年开始使用，并于1993年重新设计并实施。它包含针对犯罪受害者的问题；因此，它不统计凶杀案，但包括普通袭击和家庭暴力，以及已向警方报案的强奸、抢劫和恶性袭击案（见图6.2）。

Another way of reporting crimes is the National Crime Victimization Survey (NCVS). The survey has been used since 1972 and was redesigned and re-implemented in 1993. It contains questions for crime victims; therefore, it does not count homicides but includes simple assaults and domestic violence as well as rapes, robberies, and aggravated assaults that have been reported to police (see Figure 6.2).

犯罪率似乎呈现出周期性的上升和下降趋势。例如，在经历了八年的犯罪率下降之后，2001年犯罪率急剧上升，尤其是在一些城市。请访问www.fbi.gov/stats-services/crime-states ，图6.3提供了简要而全面的摘要以及清晰的五年趋势图表。

Crime seems to undergo periodic increases and decreases. For instance, after an eight-year period of crime decreases, it dramatically increased in 2001, especially in a number of cities. Check www.fbi.gov/stats-services/crime-states, and for a brief, but comprehensive, summary as well as a clear chart showing a five-year trend, see Figure 6.3.

这些统计数据也会发布在推特和脸书上。逮捕率也会发布在互联网上。事实上，如果你在谷歌上搜索“2014年犯罪率”，就能找到大量详尽的数据。

These statistics are also posted on Twitter and Facebook. Arrest rates are similarly posted on the Internet. In fact, if you google “Crime Rates 2014” you will find an exhaustive trove of data.

大多数犯罪都是由十几岁到二十出头的年轻男性实施的。有些暴力事件是随机发生的，有些发生在彼此认识的人之间，还有一些发生在帮派之间。尽管女性犯罪率最近有所上升，但男性在暴力犯罪中所占比例过高。这可能是部分原因是社会更加平等的氛围带来的不良副作用。然而，造成这一增长的一个更显著的原因似乎是女性对毒品（尤其是快克可卡因）的依赖日益加深。这种依赖导致她们为了满足自身需求而参与犯罪活动。因此，男性和女性的犯罪率正在趋于接近。同样值得注意的是，女性暴力犯罪的受害者受害者主要是其他女性，而男性受害者的数量几乎与女性受害者的数量相同。

Most of the crime is committed by young males in their late teens and early twenties. Some violence is random, other occurs among people who know each other, and some happens between gangs. Males are disproportionately represented as perpetrators of violent crime, although the female crime rate has recently been inching upward. This may be partly an unfortunate side effect of a more egalitarian atmosphere in the society. A more dramatic reason for the increase, however, seems to be women’s growing dependence on drugs, particularly crack. This dependence leads to involvement in criminal activities to provide for their needs. The rates for men and women, therefore, are getting closer. Noteworthy, too, is the fact that the victims of violent crimes committed by women are principally other women, whereas males victimize both males and females in almost equal numbers.

暴力犯罪数据：2009-2013 年五年趋势

Violent Crime Offense Figure: Five-Year Trend, 2009–2013

图 6.2

FIGURE 6.2

FBI 暴力犯罪统计数据www.fbi.gov/about-us/cjis/ucr/crime-in-the-us/2013/crime-in-the-us-2013/violentcrime/violent-crime-topic-page/violentcrimemain_final

FBI Violent Crime Statistics www.fbi.gov/about-us/cjis/ucr/crime-in-the-u.s/2013/crime-in-the-u.s.-2013/violentcrime/violent-crime-topic-page/violentcrimemain_final

表 6.3 2013 年暴力犯罪发生率（按受害者人口统计特征划分）

TABLE 6.3 Prevalence of Violent Crime, by Victim Demographic Characteristics, 2013

受害者^人数

Number of Victims^a

患病率^b

Prevalence Rate^b

受害者人口统计特征

2013

全部的

Total

3,041,170 †

1.2% †

性别

Sex

男性

Male

1,567,070 †

1.2% †

女性

Female

1,474,090 †

1.1 †

种族/西班牙裔血统

Race/Hispanic Origin

白色^c

White^c

1,860,870 †

1.1% †

黑人/非裔美国人^C

Black/African American^C

430,380 †

1.3 †

西班牙裔/拉丁裔

Hispanic/Latino

540,130

1.3

美洲印第安人/阿拉斯加原住民^c

American Indian/Alaska Native^c

38,310

2.8

亚洲人/夏威夷原住民/其他太平洋岛民^c

Asian/Native Hawaiian/Other Pacific Islander^c

57,300 †

0.4 †

两场或多场竞赛^c

Two or More Races^c

114,190 †

114,190†

3.6 †

年龄

Age

12–17

545,370

2.2%

18–24

527,410 †

527,410†

1.7 †

25–34

604,500 †

604,500†

1.4 †

35–49

684,150 ‡

1.1

50–64

566,990

0.9

65岁或以上

65 or Older

112,760 †

0.3 †

婚姻状况

Marital Status

从未结婚

Never Married

1,626,980 †

1.8% †

已婚

Married

738,410 †

0.6 †

寡

Widowed

74,880

0.5

离婚

Divorced

405,420

1.6

分离

Separated

171,630

3.3

注：由于四舍五入，分项加总可能与总数不符。标准误差详见附录表6。

Note: Detail may not sum to total due to rounding. See appendix table 6 for standard errors.

^†在 95% 的置信水平下，2012 年至 2013 年发生了显著变化。

^† Significant change from 2012 to 2013 at the 95% confidence level.

^‡在 90% 的置信水平下，2012 年至 2013 年发生了显著变化。

^‡ Significant change from 2012 to 2013 at the 90% confidence level.

a 一年中至少遭受过一次暴力犯罪侵害的 12 岁或以上人士的数量^。

^a Number of persons age 12 or older who experienced at least one victimization during the year for violent crime.

^b一年中至少遭受一次暴力犯罪侵害的 12 岁或以上人群的百分比。

^b Percentage of persons age 12 or older who experienced at least one victimization during the year for violent crime.

^c不包括西班牙裔或拉丁裔人士。

^c Excludes persons of Hispanic or Latino origin.

来源：改编自司法统计局，《全国犯罪受害调查》，2004 年、2012 年和 2013 年www.bjs.gov/content/pub/pdf/cv13.pdf。

Source: Adapted from Bureau of Justice Statistics, National Crime Victimization Survey, 2004, 2012, and 2013 www.bjs.gov/content/pub/pdf/cv13.pdf.

2014年1月1日至12月31日期间处决人数预估

Advance Count of Executions, January 1, 2014–December 31, 2014

图 6.3

FIGURE 6.3

司法统计局，国家囚犯统计计划（NPS-8），2013 年www.bjs.gov/content/pub/pdf/cp13st.pdf

Bureau of Justice Statistics, National Prisoner Statistics Program (NPS-8), 2013 www.bjs.gov/content/pub/pdf/cp13st.pdf

美国司法部下属机构司法统计局定期发布各种犯罪统计数据。其网站可在互联网上访问。

The Bureau of Justice Statistics, an agency of the U.S. Department of Justice, periodically publishes a variety of statistics on crime. Their Web sites are available on the Internet.

民主社会面临的困境是如何保护无辜者、惩罚有罪者，同时又尊重每个人的权利。如果执法部门能够限制人们的行动、窃听他们的手机并随意搜查他们的住所，那么预防犯罪和迅速惩处犯罪就会更容易。但这样做也会侵犯许多无辜者的自由和隐私。为了防止此类滥用，美国宪法的制定者提供了一系列保障措施，例如允许公民享有在被证明有罪之前被假定无罪的权利、不自证其罪的权利以及其他权利。执法人员搜查住所和讯问嫌疑人的权力受到限制。这些程序保护了公民，但却削弱了刑事司法系统，使其无法像在压制性或极权主义政治制度下那样果断行事。

The dilemma faced by a democratic society is how to protect the innocent, punish the guilty, and still respect each individual’s rights. Preventing crime and effecting swift punishment of crime would be simpler if law enforcement could restrict people’s movements, tap their phones, and search their homes at will. But in so doing, the freedom and privacy of many innocent people would be violated. To prevent such abuse, the writers of the U.S. Constitution provided a number of safeguards, such as allowing citizens the right to be presumed innocent until proved guilty, the right not to incriminate themselves, and other rights. Law enforcers are restricted in their ability to search homes and question suspects. Such procedures protect citizens, but they enfeeble the criminal justice system, which cannot act as decisively as it could in a repressive or totalitarian political system.

由于其被认为无效，刑事司法系统受到了受害者的普遍批评，理由是它纵容罪犯；而施暴者则批评警察粗暴对待嫌疑人，法院不公正定罪，监狱是野蛮之地。最近，多起警察暴力执法事件引起了公众的关注。大多数男性被警察杀害的案件都带有种族歧视的色彩：事实上，所有受害者恰好都是黑人男性。希望警察部门能够制定规章制度，以便对被捕者更加仁慈、更少暴力，因为他们也是人。

As a result of its perceived ineffectiveness, the criminal justice system is universally criticized by victims, on the grounds that it coddles criminals, and by the perpetrators, on the grounds that police treat suspects brutally, courts convict unjustly, and prisons are barbaric places. Recently, many instances of police brutality have come to public attention. Most of the cases in which males have been killed by police officers have had racial overtones: in fact, all victims happened to be black men. It is hoped that police departments will be able to institute rules and regulations that will lead to a more merciful and less violent treatment of arrestees, who are also human beings.

很大一部分重犯从未被逮捕。大量罪犯从未受到惩罚，被捕者中超过一半的人因为案件繁忙迫使许多指控被撤销而逍遥法外。绝大多数被定罪的人通过辩诉交易（被告同意对较轻的指控认罪的程序）获得减刑。结果是，所有重罪罪犯中只有约5%最终服刑，其中近80%的人获得假释提前释放。白领罪犯很少受到法律的全面惩罚，因为他们的经济状况允许他们聘请最好的法律顾问，而这些顾问能够利用法律程序中的漏洞为自己谋利。

A large percentage of serious offenders are never apprehended. Large numbers of criminals are never punished, and, of those arrested, better than half manage to get off free because busy dockets force many charges to be dropped. The vast majority of those who are convicted receive reduced penalties as a result of plea bargaining, a procedure in which defendants agree to plead guilty to lesser charges. The result is that only about 5 percent of all perpetrators of serious crimes ever serve time, and of those, nearly 80 percent are released early on parole. White-collar criminals are seldom punished to the full extent of the law because their financial status allows them to hire the best legal advisers, who are able to manipulate the loopholes in the legal process to their advantage.

与此同时，打击犯罪的成本不断上升。然而，截至2012年，接受某种形式惩教监管的人数已连续第四年下降。司法统计局提供了一份全面的清单，其中包含与犯罪类型和监禁人数相关的事实和统计信息。请访问：www.bjs.gov/index.cfm? ty=pbdetail&iid=5177 。

In the meantime, the cost of fighting crime is constantly increasing. However, by 2012 the number of people in some form of correctional supervision decreased for the fourth year. The Bureau of Justice Statistics offers a comprehensive list of facts and statistical information relevant to types of crimes and imprisonment figures. Check out: www.bjs.gov/index.cfm?ty=pbdetail&iid=5177.

在民主国家中，美国已成为监禁率最高的国家。即使监禁率较低，我们的监狱仍然人满为患，因为与其他西方工业国家相比，我们监禁的轻罪犯也更多。与其他国家相比，美国的刑期也较长：在美国，谋杀罪可能被判处终身监禁或死刑；而在瑞典，监禁期限要短得多，死刑已于20世纪70年代废除。尽管如此，过去几年，美国的监禁率似乎有所下降，尤其是少数族裔的监禁率。如上所述，美国司法统计局在其网站上提供了大量关于监禁人数、性别、少数族裔身份等信息。

Among democratic nations, the United States has emerged as the nation with the highest imprisonment rate. Even with the slower rate of imprisonment, our prisons are bulging because we also jail more people for lesser crimes than do other Western industrial nations. The length of sentence is also high compared to terms of imprisonment in other nations: murder in the United States may be punished by life imprisonment or execution; in Sweden, imprisonment is of much shorter duration, and the death penalty was abolished in the 1970s. Nonetheless, it appears that a lower rate of imprisonment, particularly for minorities, has occurred in the past couple of years. As noted, the Bureau of Justice Statistics offers a trove of information about the numbers, gender, minority status, and so on, on their Web site.

累犯

Recidivism

监禁本身和监禁时间似乎都无法遏制犯罪。（然而，逮捕似乎可以起到震慑作用。一项研究表明，被捕罪犯未来再次犯罪的可能性比未经警方逮捕就被释放的罪犯更小（Smith & Gartin，1989）。）监狱被称为“犯罪学校”，囚犯在这里学习如何成为更优秀的罪犯。累犯率（即重复犯罪行为）很高。相反，犯罪率暂时下降的原因之一，则被归咎于监禁人数的增加。

Neither the fact nor the length of imprisonment seems to deter crime. (Arrest seems to deter it, however. According to one study, arrested offenders are less likely to commit a crime at a future date than are offenders who are released by police without being arrested (Smith & Gartin, 1989).) Prisons are termed “crime schools,” where inmates learn how to be better criminals. Rates of recidivism—the repetition of criminal offenses—are high. Conversely, one of the reasons for a temporary decline in the crime rate has been attributed to an increase in incarceration.

然而，一项研究认为，更严酷的监狱条件会导致罪犯再次犯罪。该研究追踪了1987年从联邦监狱获释的近千名囚犯，发现那些被关押在低安全级别监狱而非最低安全级别监狱的囚犯，最终再次入狱的概率是那些被关押在低安全级别监狱的囚犯的两倍。简而言之，严酷的监狱条件似乎并不能阻止罪犯再次违法（Chen，2007）。同样，司法统计局也拥有各类囚犯的累犯率信息。

One study, however, maintains that harsher prison conditions lead criminals to offend again. The study, which tracked almost a thousand inmates who had been released from federal prisons in 1987, found that those who were in a low-security lockup rather than in a minimum-security facility ended up back in prison twice as often as those in the easier form of imprisonment. Harsh prison conditions, in short, do not seem to deter offenders from breaking the law again (Chen, 2007). Again, the Bureau of Justice Statistics has information regarding rates of recidivism for various types of inmates.

监禁是否能达到其应有的效果是一个备受争议的问题。每个社会都曾为此苦苦挣扎，但即使借助社会科学的力量，也未能彻底解决这个问题。尽管对罪犯的惩罚能让社会中的非罪犯感觉更好——因为它重申了社会赖以生存的规范——但监禁很少发挥作用，无论是作为一种威慑手段还是作为一种改造手段。即使是社会保护功能也只是暂时的。社会必须继续在其政治和经济体系中寻找解决方案，因为这些体系中的不平等和竞争可能会迫使一些人犯罪。而个人也可能需要从自身寻找导致他们伤害他人和自我的阴暗面的原因。有关累犯率的信息，请参阅：www.bjs.gov/lindex/cfm? ty=pbdetail&iid=4986 。

Whether imprisonment does what it is supposed to do is a hotly debated issue. Every society has wrestled with it, but none have resolved the problem, even with the help of the social sciences. Although punishment of a criminal makes the non-criminals in a society feel better—in the sense that it reaffirms the norms by which the society lives—imprisonment has seldom worked, either as a deterrent or as a form of rehabilitation. Even the societal protection function is temporary. Societies will have to continue to search for a solution in their political and economic systems, whose inequalities and competitiveness may impel some individuals to crime. And individuals may have to search within themselves for the causes of the dark side of the personality that allow them to harm others as well as themselves. For recidivism rates, see: www.bjs.gov/lindex/cfm?ty=pbdetail&iid=4986.

死刑

The Death Penalty

当然，终极惩罚是死刑。在人类历史的大部分时间里，死刑——无论是钉十字架、绞刑、斧头砍死、断头台处决还是枪决——都是当权者认为应受惩罚的任何违法行为的公认惩罚。大多数西方社会已经废除了死刑，但美国在1976年恢复了死刑。目前，美国有35个州保留死刑，其中德克萨斯州和佛罗里达州的死刑执行率占全美死刑执行总数的60%。是否处决那些被指控犯有滔天罪行的人是一个备受争议的话题，民众对此也存在很大分歧。皮尤研究中心2014年的一项民意调查显示，55%的美国人支持死刑，低于1976年的78%。

The ultimate punishment, of course, is death. Through much of human history, death—by crucifixion, hanging, axing, guillotine, or firearms—was the accepted punishment for whatever infraction those in power considered punishable. Most Western societies have abolished the death penalty, but the United States reinstated it in 1976. Currently, 35 states have capital punishment, with Texas and Florida representing 60 percent of all executions in the United States. Whether to execute those accused of heinous crimes is a controversial subject, and the population at large is greatly divided. A Pew Research Center poll in 2014 revealed that 55 percent of Americans favor capital punishment, down from 1976, when 78 percent were favorable.

保留死刑的合理性在于，它能够震慑那些极其恶劣、终身监禁不足以遏制的犯罪。然而，犯罪学家发现，这种理由站不住脚。一项对67位专业犯罪学组织负责人的调查显示，83%的人认为死刑不具备震慑力，而只有11.9%的人认为死刑具备震慑力（Radelet & Akers, 1996）。专业人士的看法与公众不同。然而，值得注意的是，在过去20年中，死刑州的凶杀率比非死刑州高出48%至101%（Bonner & Fassenden, 2000, A1）。

The rationalization for keeping the death penalty is that it acts as a deterrent to crimes so heinous that life imprisonment is insufficient. However, criminologists have found that this is not a valid rationale. A survey of 67 heads of professional criminological organizations determined that 83 percent did not believe the death penalty was a deterrent, whereas only 11.9 percent thought that it was (Radelet & Akers, 1996). The professionals differ from the general public. It is important to observe, however, that in the last 20 years, the homicide rate in death-penalty states has been 48 percent to 101 percent higher than in non-death-penalty states (Bonner & Fassenden, 2000, A1).

无论死刑是否具有威慑力，实施死刑的问题在于，经常会错误地指控、起诉和起诉犯罪，而如果这样的人被处决，那就代表着终极的不公正：杀害无辜者。事实上，在20年间（1972年至1995年），三分之二的死刑案件在上诉后被推翻，原因是辩护律师能力不足、检察官或警方隐瞒信息，或其他原因。此外，改进的DNA技术能够证明一些囚犯的清白。最后，是否应该将患有精神疾病、智力障碍或未成年人与完全有意识地行事的人同等对待，仍有待确定。

Regardless of whether capital punishment is or is not a deterrent, the problem with imposing it is that frequently the wrong person is accused, indicted, and prosecuted for a crime, and if such a person is executed, that represents the ultimate injustice: killing an innocent. As it is, in one 20-year period (1972–1995), two-thirds of death penalty cases were overturned on appeal, because of incompetent counsel or information withheld by prosecutors or police or for other reasons. In addition, improved DNA technology is able to prove the innocence of some inmates. Finally, it remains to be determined whether persons afflicted with mental illness or retardation or who are juveniles should be treated in the same way as those behaving in full consciousness of their actions.

社会生活需要足够程度的秩序，才能实现和平共处。个人通过履行与其身份相符的角色，并遵守大部分社会规范，确保社会体系正常运转。

Life in society requires a sufficient degree of order to allow peaceful coexistence. By performing the roles that go with their statuses and by obeying most of the norms of the society, individuals ensure that the social system works.

规范和角色是通过社会化习得的，但社会化从来都不是完美的，非正式的控制也不足以维持大型社会中的社会秩序。偏差是指与重要的社会规范和期望相冲突的行为或特质，并受到许多人的负面评价。偏差与时间和地点、实施偏差行为的人，甚至对偏差行为的定义都有关。此外，偏差也有其种类和程度。

Norms and roles are learned through socialization, but the latter is never perfect, nor are informal controls adequate to maintain social order in large societies. Deviance refers to behavior or traits that conflict with significant social norms and expectations and are judged negatively by a large number of people. Deviance is relative to time and place, to who commits the deviant act, and even to who does the defining. Moreover, there are kinds and degrees of deviance.

越轨行为在社会中发挥着一些有益的作用：它增强了非越轨者对遵守社会规范的价值的信念；它有助于社会稳定；并且常常预示着积极的社会变革。另一方面，大规模的越轨行为会破坏社会秩序，如果不受惩罚，往往会打击那些遵守社会规范的人的士气。

Deviance performs some useful functions in society: it strengthens non-deviants’ faith in the value of conforming to social norms; it contributes to social stability; and it often heralds positive social change. On the other hand, large-scale deviance is damaging to the social order, and when it goes unpunished, it tends to demoralize those who conform to social norms.

理论家们从生物学、心理学和社会学的角度解释了为什么有些人遵守社会规范，而另一些人却偏离社会规范。

Explanations of why some people conform and others deviate from social norms have been offered by theorists from the perspectives of biology, psychology, and sociology.

生物学理论将偏差归因于某些身体特征或体型。心理学理论将其归因于精神或身体疾病，而弗洛伊德学派则将其归咎于超我发展不完善。精神疾病包括脑部疾病或智力障碍，这些疾病的起因是生理（器质性）的，但可能发展为情绪障碍。此外，精神疾病可能是心身疾病（与身体原因无关），也可能由神经症组成，例如恐惧症、健忘症、强迫症和分离性反应。一种更严重的人格障碍包括适应不良行为，例如反社会人格者（从事反社会行为却没有焦虑或悔恨）或性变态者所表现的行为。最后，最严重的精神疾病形式是精神病：精神分裂症、偏执狂、躁郁症和幻觉。

Biological theories attribute deviance to certain physical traits or body types. Psychological theories attribute it to mental or physical disorders, whereas Freudians blame it on the imperfect development of the superego. Mental disorders include brain disorders or mental retardation, which are physical (organic) in origin but may become emotional disturbances. In addition, mental disorders may be psychosomatic (unrelated to a physical cause) or may consist of neuroses such as phobias, amnesia, obsessive-compulsive reaction, and dissociative reaction. A more severe kind of personality disorder consists of maladaptive behavior such as that exemplified by the sociopath (who engages in antisocial behavior without anxiety or remorse) or the sexual deviant. Finally, the most severe forms of mental illness are psychoses: schizophrenia, paranoia, bipolar disorder, and hallucinations.

人格障碍和精神疾病的治疗包括心理治疗、行为疗法、精神药理学、电击疗法和催眠疗法。

Treatment of personality disorders and mental illness includes psychotherapy, behavior therapy, psychopharmacology, electroshock therapy, and hypnotherapy.

社会学理论包括失范理论（当社会系统失衡，价值观不稳定时，个人会以创新、仪式主义、退缩主义或反叛等越轨行为作出反应）；差异交往（文化传递）理论（所有行为都是在小型、亲密的初级群体中与他人的互动中习得的）；以及标签理论（强调个体被贴上偏差标签的过程，以及他们因此受到的待遇）。标签理论的视角存在冲突，认为偏差者既是受害者，也是施害者。任何理论都不能不加批判地被接受；它们都有助于解释偏差行为，但都不能绝对地解释偏差行为的存在。

Sociological theories include the anomie theory (when there is a lack of balance in the social system and values are insecure, the individual responds with such deviance as innovation, ritualism, retreatism, or rebellion); the differential association (cultural transmission) theory (all behavior is learned in interaction with others in small, intimate primary groups); and labeling theory (which stresses the process by which individuals are labeled as deviant and their treatment as a result of that label). Labeling theory has a conflict perspective in that deviants are seen as victims as well as perpetrators. None of the theories can be accepted uncritically; all contribute to the explanation of deviance, but they do not explain its existence in absolute terms.

一种对个人和社会都极具破坏性的越轨行为就是犯罪。犯罪是指由于其破坏性而被法律定义为错误的行为。因此，社会成员不得实施犯罪，违反禁令的人将受到惩罚。主要的犯罪类型包括青少年犯罪、扰乱社会秩序（无受害人）犯罪、白领犯罪、有组织犯罪以及针对人身和财产的犯罪——其中最具威胁性和令人恐惧的类型。联邦调查局每年汇编犯罪统计数据，并以《统一犯罪报告》的形式发布。报告重点关注八大类指数犯罪，即谋杀、强奸、抢劫、严重袭击、纵火、入室盗窃、偷窃和汽车盗窃。这些统计数据显示，犯罪者大多为 21 岁以下的男性、城市居民和非裔美国人，但由于只有未遂罪犯才会被逮捕，大多数犯罪都未破获、未被发现或未被举报，因此这些统计数据不能被视为完全有效。

One form of deviance that is extremely damaging to individuals and society is crime. A crime is an action that has been defined by law as wrong because of its destructive nature. As such, it is prohibited to members of society, and those who disregard the prohibition are punished. The chief categories of crime are juvenile delinquency, social-order (victimless) crime, white-collar crime, organized crime, and crimes against person and property—the most threatening and frightening category. Statistics on crime are compiled annually by the FBI and published as the Uniform Crime Reports. The stress is on the eight index crimes consisting of murder, rape, robbery, aggravated assault, arson, burglary, larceny, and auto theft. These statistics reveal that those who commit crimes are largely under 21, males, urban residents, and African Americans, but because only the unsuccessful criminals are arrested and most crimes go unsolved, undetected, or unreported, these statistics cannot be considered totally valid.

美国是惩罚最为严厉的社会之一：监狱和看守所的囚犯数量非常高，而且有35个州允许判处死刑。近年来，犯罪率有所下降，但每隔几年就会缓慢上升。监狱、看守所、警察和法院的维护成本不断上涨，这可能会迫使立法者通过更为宽松的监禁法律。

The United States is one of the most punitive societies: the number of inmates in our prisons and jails is very high, and 35 states allow the death penalty. The crime rate has declined in recent years, but it inches upward every few years. The constantly increasing cost of maintaining prisons and jails, police, and courts may force legislators to pass more lenient imprisonment laws.

失范（anomie ）是涂尔干用来指代一种无规范状态的术语。默顿用失范来解释越轨行为，他认为越轨行为发生在文化目标无法通过法律制度手段实现的情况下。

anomie Durkheim’s term for a condition of normlessness. Merton used anomie to explain deviance, which he thought occurred when cultural goals cannot be achieved through legal institutional means.

双相情感障碍 一种精神病，其特征是情绪从深度抑郁到高度兴奋的极端波动。

bipolar disorder A psychosis characterized by extreme swings in emotion from deep depression to a high degree of excitement.

文化传播（或差异交往） 偏差理论（Sutherland，Miller）基于这样的主张：所有人类行为，包括偏差行为，都是通过符号互动学习的，尤其是在初级群体中。

cultural transmission (or differential association) Theory of deviance (Sutherland, Miller) based on the proposition that all human behavior, including deviant behavior, is learned through symbolic interaction, especially in primary groups.

越轨行为超出了社会容忍限度的违反规范的行为。

deviance Norm-violating behavior beyond the society’s limits of tolerance.

差异化交往 参见文化传播。

differential association See cultural transmission.

外胚型： 在谢尔顿的类型学（生物学偏差理论）中，指瘦弱的体型，其性格倾向于内省、敏感、神经质和艺术性。

ectomorph In Sheldon’s typology (biological theory of deviance), a thin and delicate body type whose personality tends to be introspective, sensitive, nervous, and artistic.

电休克疗法： 一种通过施加剧烈电击来治疗严重精神障碍（尤其是抑郁症）的方法。这是一种痛苦的治疗过程，有时会被滥用。

electroconvulsive shock therapy A treatment of severe mental disorders (particularly depression) through the application of severe electric shock. It is a painful procedure and is sometimes abused.

内型体型 在谢尔顿的类型学中，体型圆润柔软，性格善于社交、随和、自我放纵。

endomorph In Sheldon’s typology, a round and soft body type whose personality is social, easygoing, and self-indulgent.

指数犯罪 美国联邦调查局每年报告的八种犯罪率：谋杀、强奸、抢劫、严重攻击、入室盗窃、纵火、盗窃和汽车盗窃。

index crimes The eight crimes whose rates are reported annually by the FBI: murder, rape, robbery, aggravated assault, burglary, arson, larceny, and auto theft.

标签一种关于越轨行为的社会学理论，它将越轨行为解释为对群体对曾经被判定为越轨者的期望的反应。

labeling A sociological theory of deviance that explains deviant behavior as a reaction to the group’s expectations of someone who has once been decreed as deviant.

中胚层 体型：在谢尔顿的类型学中，中胚层体型指的是肌肉发达、敏捷的体型，具有不安分、精力充沛和迟钝的个性。

mesomorph In Sheldon’s typology, a muscular and agile body type with a restless, energetic, and insensitive personality.

神经症 一种轻度的人格障碍；一种处理个人问题的低效、部分破坏性的方式，但很少麻烦到需要制度化治疗。神经症包括失忆症、恐惧症、强迫观念或重复行为以及思想或经历的压抑。

neurosis A mild personality disorder; an inefficient, partly disruptive way of dealing with personal problems, but seldom troublesome enough to require institutionalization. Neuroses include amnesia, phobias, obsessive ideas or repetitive actions, and repression of thoughts or experiences.

偏执狂 一种精神病，其特征是感觉自己受到迫害或成为重要人物（夸大妄想）。

paranoia A psychosis characterized by the feeling of being persecuted or of being an important personage (delusions of grandeur).

人格障碍： 严重程度介于神经症和精神病之间的精神障碍。这些包括反社会人格、性变态和成瘾。

personality disorders Mental disorders that lie somewhere between the neuroses and the psychoses in severity. They include sociopathy, sexual deviance, and addiction.

精神病： 一种严重的精神障碍，患者无法与现实建立联系。当患者无法在社会中正常生活时，需要接受机构治疗。精神病包括精神分裂症、偏执狂和躁郁症。

psychosis A serious mental disorder in which there is loss of contact with reality. Requires institutionalization when individuals become incapable of functioning in society. Psychoses include schizophrenia, paranoia, and bipolar disorder.

心身疾病 由于情绪紧张或焦虑而引起的身体疾病。

psychosomatic disorders Physical ailments developed as a result of emotional tension or anxiety.

心理治疗 一种针对精神病和精神障碍的治疗，包括分析、团体治疗、家庭治疗等，以言语交流为中心。

psychotherapy A treatment for psychoses and mental disturbances that includes analysis, group therapy, family therapy, and others, centering around verbal exchanges.

精神分裂症 一种精神病，其严重程度从无法与他人交往到完全脱离现实。

schizophrenia A label for a psychosis that varies in severity from inability to relate to others to total withdrawal from reality.

反社会人格 者患有人格障碍的人，其反社会行为不会引起悔恨。

sociopath A person suffering from a personality disturbance in which antisocial behavior does not elicit remorse.

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Bonner, Raymond, and Ford Fassenden. 2000. “Absence of Executions: A Special Report. States With No Death Penalty Share Lower Homicide Rates.” The New York Times, September 22, p. A1.

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Chen, Keith M. 2007. “Prison Conditions: Gently Does It.” The Economist, July 26.

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Cohen, Albert K. 1955. Delinquent Boys: The Culture of the Gang. New York: Free Press.

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Goleman, Daniel. 1992. “New Storm Brews on Whether Crime Has Roots in Genes.” The New York Times, September 15, B5, B8.

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Liazos, Alexander. 1972. “The Poverty of the Sociology of Deviance: Nuts, Sluts, and Perverts.” Social Problems, 20: 103–120.

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Sutherland, Edwin H. 1949, 1961. White Collar Crime. New York: Dryden.

www.fbi.gov/news/stories/2014/november/crime-statistics-for2013-released

詹妮弗·冈纳曼。2004年。《在探视室里长大》。纽约：法勒·斯特劳斯和吉鲁出版社。本书讲述了一位女性的狱中生活，她的四个孩子童年和青年时期的大部分时间都在探视时间与狱中的母亲一起度过。

Gonnerman, Jennifer. 2004. Growing Up in the Visiting Room. New York: Farrar, Straus & Giroux. The book traces the life in prison of a woman whose four children spend much of their childhood and young years with an imprisoned mother during visiting hours.

Reiman, Jeffrey。2002年。《富人愈富，穷人入狱？》第七版。马萨诸塞州尼德汉姆高地：Allyn and Bacon出版社。本书以冲突视角审视刑事司法系统，重点关注种族和阶级不平等。作者认为，种族和阶级不平等是美国犯罪问题的根源。

Reiman, Jeffrey. 2002. The Rich Get Richer and the Poor Get Prison? 7th ed. Needham Heights, MA: Allyn and Bacon. A conflict perspective on the criminal justice system, focusing on the racial and class inequalities that, according to the author, lie at the bottom of the problems created by crime in the United States.

美国犯罪统计数据：

Statistics on crime in the United States:

www.fbi.gov/news/preswsrel/press-releases-preliminary-semiannual-crime-statistics-for-2014

www.crimeinamerica.net/crime-rates-united-states/

The Great Divide: Ranking and Stratification

巨大的鸿沟：排名与分层

在本章中，你将了解到

IN THIS CHAPTER, YOU WILL LEARN THAT

• 在所有社会中，人们都按性别和年龄进行区分；在生产盈余的社会中，人们还按其拥有的财富、声望和权力的数量进行区分；

• people are differentiated by gender and age in all societies; in societies that produce a surplus they are also differentiated by the amount of wealth, prestige, and power they hold;

• 这种区分的重要性在于它所附带的社会意义；

• the importance of such differentiation lies in the social meanings that are attached to it;

• 排名本质上会导致不平等，因为这意味着一些人因其所拥有的理想属性或商品而优于其他人；

• ranking inherently results in inequality because it implies that some persons are superior to others because of the desirable attributes or commodities they possess;

• 当稀缺商品分配不均时，就会产生分层制度；

• a stratified system results when scarce goods are distributed unequally;

• 对不平等的理论解释遵循保守或自由的传统；

• the theoretical explanations for inequality follow a conservative or liberal tradition;

• 社会科学家已经开发出几种分层系统模型；

• social scientists have developed several models of stratification systems;

• 确定社会阶层的方式多种多样；

• there are various ways of determining social class;

• 社会阶层和社会流动因素的影响对人类生活产生影响；

• the consequences of social class and the factors involved in social mobility affect human lives; and

• 贫困似乎是不平等的一个顽固副作用。

• poverty seems to be a stubborn side effect of inequality.

格政府宣称其公民在法律面前一律平等。宗教强调所有人都是“上帝的孩子”。科学家断言全人类都来自同一个祖先。人道主义者游说立法，以平等对待所有社会成员的生活方式，而共产主义政府则坚称——在其几乎全面崩溃之前——他们已经实现了这种平等。慈善家们捐款也是为了同样的目的——或者是为了减轻自己比别人拥有更多东西的愧疚感。简而言之，至少在西方社会的文化中，人人平等或应该平等的观念是一个常见的主题。然而，或许正是对这一主题的坚持反映了人人不平等的现实。

Governments proclaim that their citizens are all equal before the law. Religions stress that all people are “God’s children.” Scientists assert that all humankind is descended from a common stock. Humanitarians lobby for legislation to equalize the lifestyles of all members of society, and communist governments maintained—before their almost universal collapse—that they had already attained such equality. Philanthropists donate money for the same purpose—or to lessen their guilt for having so much more than others. In short, the idea that all humans are, or should be, equal is a frequent theme, at least in the cultures of Western societies. And yet, perhaps the very insistence on this theme reflects the reality that people are anything but equal.

正如我们在第五章中看到的，医院育婴室里长相相似的婴儿在社会化过程中会变成截然不同的成年人。不仅是外貌，还有性别、年龄、肤色、衣着、谈吐以及许多其他属性都体现了个体的特征。这些差异显而易见。更重要的是那些对人们的生活产生巨大影响的差异，其中包括个人拥有的财富、地位和权力。

As we saw in Chapter 5, the similar-1looking babies in hospital nurseries are socialized into quite different adults. Not only appearance, but also differences in gender, age, skin color, manner of dress and speech, and many other attributes characterize individuals. These differences are easily visible. More important are the differences that affect people’s lives dramatically, among which are the amounts of wealth, status, and power that individuals possess.

差异是所有生命形式的特征。然而，在人类社会中，如何解读这些差异至关重要。也就是说，重要的是人们赋予偶然的生物学事实和文化特征的社会意义。这些意义被评判为更可取或更不可取。因此，它们被排序，而排序产生了不平等。由于某些特征比其他特征更受重视，缺乏这些特征的人并不被认为与拥有这些特征的人平等。同样，由于在大多数社会中，许多资源稀缺且难以获得，拥有这些资源较少的人被认为与拥有这些资源较多的人不平等。

Differences are characteristic of all life forms. In human societies, however, the way the differences are interpreted is immensely important. That is, what counts are the social meanings people give both to chance biological facts and to cultural traits. These are judged as being either more or less desirable. Consequently, they are ranked, and ranking produces inequality. Because some traits are valued more highly than others, people who lack those traits are not considered equal to those who have them. By the same token, because many resources are scarce and hard to obtain in most societies, those who have less of them are considered unequal to those who have more of them.

社会分化、排名和分层

Social Differentiation, Ranking, and Stratification

现实世界充满了不平等的例子。“大鱼吃小鱼”是常识，这一事实表明不平等在自然界中被视为理所当然：每个群体中总有一些个体在生存任务中拥有优势。社会科学家并不关心这种不平等。

The physical world is full of examples of inequality. The fact that it is common knowledge that “the bigger fish eats the smaller fish” indicates that inequality is taken for granted in nature: some individuals in each group have an advantage in the task of survival. Social scientists are not concerned with that type of inequality.

令人担忧的是，所有人类社会都存在社会分化。世界各地的人们都被根据某些特征（性别、年龄、种族、民族背景、宗教）以及他们所拥有的稀缺资源（财富、权力、声望）的数量进行分类。此外，如前所述，人们还会根据拥有或不拥有某些列出的属性而被排列等级。等级涉及价值判断；实际上，社会会认定，成为某种人比成为另一种人好，拥有某些东西多比拥有少好。最终，等级会导致社会阶层分化，即社会中不同类别的人受到不平等对待的情况。

Of concern is the fact that all human societies practice social differentiation. People everywhere are categorized according to some trait (sex, age, race, ethnic background, religion) and according to how much of the scarce resources (wealth, power, prestige) they possess. Further, as noted earlier, people are ranked on the basis of having or lacking some of the listed attributes. Ranking involves a value judgment; in effect, the society establishes that it is better to be one thing than another, to have more of some things than less. Eventually, ranking results in stratification, a condition in which categories of people in a society are treated unequally.

所有群体，无论是人类还是动物，最终都会发展出社会等级制度，或称支配秩序。其目的是提供一种有序的资源获取和分配方式。从某种程度上来说，这是一种防止对稀缺资源（因此也是人们特别渴望的资源）持续争斗的方法。

All groups, human as well as animal, eventually develop a social hierarchy, or dominance order. The reason for this is to provide an orderly method of access to and distribution of resources. In a way, it is a method of preventing continuous fighting over scarce—and, therefore, especially desired—resources.

在简单社会中，社会分化基于性别和年龄。作为对特殊才能的奖励，一些个人或群体会被赋予更高的声望、影响力和财富。例如，过去的游牧狩猎采集群体拥有的财产非常有限。他们最多只有几支弓箭、几把原始的刀具，以及一些用贝壳、兽皮或动物器官制成的器皿。狩猎成功后，部落的每个成员都会获得公平的猎物份额，然后尽情享用。如果没有猎获的动物，那么每个人都会挨饿。囤积，尤其是肉类，是不可能的，因为如果没有保存方法，肉类就会变质。因此，没有任何个人或家庭有机会比其他人积累更多的食物。从经济角度来看，这些群体中的所有成员都是平等的，尽管他们根据性别和年龄有所区分：男人和女人，年轻人和老年人，拥有不同的地位，扮演着不同的角色。此外，最有天赋的猎人、展现特殊技能的人，以及拥有一些经验知识的长者，在部落中都拥有更高的地位。他们受到更多的尊重和敬重；他们的言论和决定比天赋较差的人更有分量。他们可能获得额外的肉类配给或更干燥的住所。即使在这些简单的社会中，也存在着不平等，即有些人比其他人获得更多。但这种不平等仅限于个人，他们因自己的行为而受到奖励或惩罚，而不是针对整个群体。这与更复杂社会中不平等的发生方式有着重要区别。

In simple societies, there is social differentiation based on sex and age. As a reward for special talents, some individuals or groups are given greater amounts of prestige, influence, and wealth. For example, the nomadic hunting and gathering groups of the past had very few possessions. At most, they had a few bows and arrows, primitive knives, and some utensils made of shells, animal skins, or animal organs. When the hunt was successful, every member of the tribe was given a fair share of the kill, and they all gorged themselves. When no animal had been killed, everyone went hungry. Hoarding, especially of meat, was impossible because without methods of preserving it, meat spoils. As a result, no individual or family had an opportunity to accumulate more food than another. From an economic point of view, all members of such groups were equal, though they were differentiated according to sex and age: men and women, young and old, had different statuses and performed different roles. In addition, the most talented hunters, those who exhibited special skills, and the elderly, who had some knowledge resulting from experience, all had higher positions in the tribe. They were given more respect and honor; their words and decisions carried more weight than those of the lesser-endowed individuals. They may have received an extra ration of meat or drier shelter. Even in these simple societies, then, there was inequality in the sense that some individuals got more than others. But the inequality was limited to single individuals, who were rewarded or punished for their own actions, and not to whole categories of people. This is an important distinction from the way inequality occurs in more complex societies.

图片 7.1十九世纪和二十世纪初，资本主义盛行的美国和英国大城市中，这样的场景屡见不鲜。贫富差距悬殊带来的道德反感，反而助长了人们接受更自由主义的思想。

IMAGE 7.1 Scenes like this were frequent in the major cities of the United States and Britain in the nineteenth and early twentieth centuries when capitalism reigned unobstructed. Moral repugnance at the extremes of wealth and poverty fueled the acceptance of more liberal ideas.

iStock：© carolthacker

iStock: © carolthacker

分层

Stratification

社会越复杂，其稀缺资源分配的不均等性就越强。稀缺资源分配不均导致社会分层，即社会被划分为若干阶层或层级。分层社会采用一种等级制度，其依据如下标准：

The more complex societies are, the more unequally they tend to distribute their scarce goods. The unequal distribution of scarce resources leads to social stratification, meaning that the society is divided into a number of strata, or layers. Stratified societies use a system of ranking according to:

1. 财富，即一个人拥有多少社会资源。

1. Wealth, or how much of the societal resources a person owns.

2. 威望，或者一个人在社会中的地位所带来的荣誉程度。

2. Prestige, or the degree of honor a person’s position in society evokes.

3. 权力，或者一个人由于上述因素而能够指挥他人的程度。

3. Power, or the degree to which a person can direct others as a result of the preceding factors.

财富（包括收入和财产）是社会阶层的一个要素，而声望则是地位的一个要素。反过来，阶级、地位和权力是所谓的阶层分化的维度。通过考察这些现象，我们可以分析阶层体系。

Wealth, which includes income and property, is an element of social class, whereas prestige is an element of status. In turn, class, status, and power are the so-called dimensions of stratification. Stratification systems are analyzed by looking at each of these phenomena.

任何生产过盈余的社会都会出现阶层分化。一个没有盈余的社会，几乎没有机会获得财富、声望以及由此而来的权力。阶层分化与经济密切相关，因为将人们划分为社会阶层，最终是为了回答这个问题：谁得到了什么，以及为什么？（社会中稀缺的资源应该如何分配，以及分配的原因是什么？）不同的社会会根据其经济体系对这些问题给出不同的答案。因此，它们的阶层体系也各不相同。

Stratification occurs in every society that has produced a surplus. A society that produces no surplus gives little opportunity to acquire wealth or prestige and the power based on them. Stratification is intimately related to economics because the layering of people into social levels boils down to attempts to answer the question: Who gets what, and why? (How shall the scarce resources in the society be distributed and for what reason?) Different societies answer these questions differently, according to their economic systems. Consequently, their stratification systems vary.

关于分层的理论观点

Theoretical Views on Stratification

阶层分化制度本质上将人们划分为富人和穷人。在分析阶层分化产生的原因时，大多数社会思想家认为，某种程度的社会不平等是不可避免的。经典保守派的观点认为，不平等是自然法则的一部分。他们认为，人性本自私贪婪。社会制度必须遏制这种贪婪和自私，否则社会将无法平稳运转。这种遏制是由制度完成的；然而，制度本身也助长了不平等。不平等是社会为确保和平与秩序必须付出的代价。后来，所谓的社会达尔文主义者提出，由于社会资源稀缺，人们不得不竞争，因此只有最强大、最聪明或最愿意工作的人才能获得生活中的美好事物。这种情况会导致不平等，但同时也会确保只有社会中最有价值的人才能获得权力和特权。最终，这将有利于社会，因为这样的人将提供开明的领导力。

Stratification systems essentially separate people into haves and have-nots. When attempting to analyze why stratification emerges, most social thinkers have concluded that some social inequality is inevitable. The classical conservative position is that inequality is part of the law of nature. It holds that people are basically selfish and greedy. Social institutions must curb this greed and selfishness or the society will not function smoothly. The curbing is done by institutions; however, institutions also promote inequality. Inequality is the price societies must pay to ensure peace and order. Later, the so-called social Darwinists proposed that because the resources of society were scarce and people had to compete for them, only the strongest, the most intelligent, or those most willing to work, would acquire the good things in life. This situation would result in inequality, but at the same time it would ensure that only the worthiest people in a society rose to positions of power and privilege. Ultimately, this would benefit society, for such people would provide enlightened leadership.

古典自由主义认为，人性本善，而非自私贪婪。社会及其制度腐蚀了人们，因为每个个体或群体都必须争夺社会提供的稀缺商品和服务。这种斗争最终导致分裂，最终导致一个群体统治其他群体。占主导地位的群体能够剥削其他群体，一旦掌握权力，便会将其意志强加于社会其他成员。如此一来，不平等和阶层分化便不可避免。

In the classical liberal view, humans are considered essentially good rather than selfish and greedy. It is society and its institutions that corrupt people because each individual or group must struggle for a share of the scarce goods and services that the society offers. The struggle becomes divisive and ends with the dominance of one group over others. The dominant group is able to exploit the others and, once in a position of power, to impose its will on the remainder of society. Inequality and stratification are then unavoidable.

结构功能主义观点

Structural-Functionalist Perspective

保守观点的思想继承者是社会学中的结构功能主义学派。功能主义者强调社会需求而非个人需求，认为个人需求只有在社会内部才能得到满足。每个社会的存在都依赖于定期执行某些特定任务，这些任务艰巨且需要特殊的智力、天赋和训练。社会必须建立奖励制度，以吸引最有才华、最聪明、训练有素的个人来完成这些任务。对社会福祉至关重要的职位，以及合格人员稀缺的职位，必须获得最高的奖励（Davis & Moore，1945）。有人可能会说，收集垃圾对社会健康的重要性几乎与行医一样重要，因为未收集的垃圾会威胁公共健康，但收集垃圾几乎不需要培训或天赋；因此，许多人都能胜任这项工作。另一方面，行医需要长期的学习和培训。并非所有人都能接受这样的训练；因此，潜在的医生数量比潜在的垃圾收集者数量要少，因此医生应该得到更好的回报。

The intellectual descendants of the conservative viewpoint are represented by the structural-functionalist school of thought in sociology. Functionalists stress the needs of the society rather than those of the individual, reasoning that the needs of individuals can be satisfied only within the society. The existence of every society depends on the regular performance of specific tasks that are difficult and require special intelligence, talent, and training. Societies must institute systems of rewards with which to lure the most talented, the most intelligent, and the best-trained individuals to perform these tasks. The positions most essential to the welfare of a society, and positions for which there are few qualified personnel, must be the ones that are most highly rewarded (Davis & Moore, 1945). It may be argued that collecting garbage is almost as vital to the health of a society as practicing medicine because uncollected garbage is a threat to public health, but collecting garbage requires little training or talent; therefore, many individuals are capable of performing this function. Practicing medicine, on the other hand, requires a long period of study and training. Not all individuals are capable of undergoing the discipline of such training; therefore, there are fewer potential doctors than potential garbage collectors, and consequently doctors should be much better rewarded.

此外，功能理论家强调社会秩序、稳定和平衡的重要性。他们认为，尽管分层制度会造成一些社会不平等，但它对社会具有稳定作用。它可以防止冲突爆发，避免扰乱社会的有序运作。（结构功能主义因其强调和谐与平衡，也被称为均衡理论。）最后，功能主义者得出结论，不平等是社会体系固有的，因为并非所有类型的工作对社会都同样必要，并因此受到社会的重视。

In addition, functional theorists stress the need for order, stability, and balance in society. Even though it produces some social inequality, they maintain, a system of stratification has a stabilizing influence on society. It prevents conflicts from erupting and disrupting the orderly functioning of the society. (Structural-functionalism is also called the equilibrium theory because of its emphasis on harmony and balance.) Finally, functionalists conclude that inequality is built into the social system because not all types of work are equally necessary for, and thus valued by, the society.

对结构功能主义的批评主要集中在以下事实：（1）什么是基本功能需要解释（职业足球运动员或艺人是基本功能吗？）；（2）分层系统阻碍了一些有天赋的人发展他们的才能，而一些没有天赋的人尽管他们局限性。更多解释，请参阅：www.study.com/academy/lesson/structural- functional-theory-in-sociology-definition-examples-quiz.html；或谷歌搜索“结构功能视角”。

Criticism of structural-functionalism centers around the facts that (1) what is an essential function is subject to interpretation (is a professional football player or an entertainer essential?) and (2) stratification systems prevent some talented people from developing their talents, while some untalented people receive rewards despite their limitations. For further explanation, see: www.study.com/academy/lesson/structural-functional-theory-in-sociology-definition-examples-quiz.html; or google Structural Functional Perspective.

冲突视角

Conflict Perspective

古典自由主义观点的思想传承者是当今的冲突理论家。他们认为，不平等是源于人们对权力的渴望而产生的冲突和纷争的产物。稀缺资源的占有赋予了拥有者权力。各个群体为了争夺权力而相互斗争，而最终获胜的群体试图通过引入某些机构——宗教、教育、政治体系——来将一种分层制度强加于社会，使其合法化。因此，分层制度是一种强制机制。

The intellectual descendants of the classical liberal view are today’s conflict theorists. They argue that inequality is the product of the conflicts and dissensions that originate in people’s desire for power. The possession of scarce resources gives the possessor power. Groups struggle with one another to obtain power, and the group that emerges victorious tries to impose a stratification system on the society by enrolling some institutions—religion, education, the political system—to legitimize it. Thus, stratification systems are mechanisms of coercion.

最著名的冲突理论家是卡尔·马克思。他指出，所有历史都是社会报酬分配不均导致阶级斗争的记录。马克思认为，所有社会都是阶层分化的，因为在每个社会中，总有一个群体试图以牺牲其他群体为代价来保护自身的经济利益。此外，生产资料的私有制导致了现代社会被划分为不同的社会阶级。这些阶级彼此冲突，因为所有者（资产阶级）拥有并试图维持对非所有者（无产阶级）的权力垄断。所有者通过武力以及向大众灌输使其权力合法化的价值体系和意识形态来获取和维持权力。一旦他们掌握了权力，阶层分化体系开始运作，该体系就会通过各种机构得以延续。家庭将财富、教育机会和声望，或者贫困和缺乏机会，从一代传到另一代。学校也为一些人培养领导角色，为另一些人培养从事低级职业。宗教帮助人们接受能够证明现状的价值观，鼓励穷人在来世寻求回报，或引导信徒进行精神探索，为痛苦提供慰藉。

The best-known conflict theorist was Karl Marx. He stated that all of history was a record of class struggles caused by the unequal distribution of rewards in societies. All societies are stratified, according to Marx, because in every society one group tries to protect its economic interests at the expense of other groups. Further, private ownership of the means of production leads to the modern division of societies into social classes. These classes are in conflict with one another because the owners (the bourgeoisie) have, and want to keep, a monopoly of power over the non-owners (the proletariat). The owners obtain and maintain power both by force and by instilling a value system and ideology in the masses that legitimize their power. Once they are in control and with a system of stratification in operation, the system is perpetuated through various institutions. The family transmits either wealth, opportunity for education, and prestige, or poverty and lack of opportunity, from one generation to another. Schools, too, prepare some individuals for leadership roles and others for menial occupations. Religions help people accept values that justify the status quo and encourage the poor to seek their reward in an afterlife, or direct the faithful toward a spiritual quest, offering solace from pain.

对冲突分层理论（尤其是马克思主义）的批评在于，它忽略了两个重要问题：首先，人们在天赋、智力和愿意付出的工作量上天生不平等；其次，不平等的存在在很大程度上是激励人们前进的力量。在任何经济体系中，越勤奋、越有才华、越聪明的人就越容易攀升到顶层，而不平等的存在也会激励人们努力攀登顶层。您可以通过谷歌搜索了解更多关于冲突理论的信息，也可以访问www.sociology.about.com/od/Sociological-Theory/a/Conflict-theory.htm。

A criticism of the conflict theory of stratification, and of Marxism in particular, is that it neglects to address two important issues: first, that people are naturally unequal in the amount of talent and intelligence they have and the amount of work they are willing to do; and second, that to a great extent the existence of inequality is a motivating force for people. The more hard-working, talented, and intelligent people will tend to rise to the top in any economic system, and the existence of inequality will motivate people to try to get to the top. You can find out more about the conflict theory by googling it, and also at www.sociology.about.com/od/Sociological-Theory/a/Conflict-theory.htm.

功能主义和冲突主义的分层理论并非互相排斥。有证据表明，社会既展现出稳定与共识，也存在冲突与分歧。这两种理论提出了两种看待社会分层体系的不同视角，但它们并未就分层的成因提供明确的答案，也未提供消除不平等的方法。

The functionalist and the conflict theories of stratification are not mutually exclusive. There is evidence that societies exhibit stability and consensus as well as conflict and dissension. The two theories suggest two different ways of looking at the stratification systems of societies, but they do not offer definitive answers about the causes of stratification, nor do they provide methods for doing away with inequality.

分层的维度：阶级、地位和权力

Dimensions of Stratification: Class, Status, and Power

如前所述，所有阶层体系的基础，都是根据人们所拥有的稀缺且因此备受珍视的事物进行排序。这些稀缺资源通常被归类为财富、声望和权力，或者用更社会学的术语来说，是阶级、地位和权力。正是根据这些维度，人们在社会中被赋予等级，并与等级相似的其他人一起被归入同一阶层。

The basis of all stratification systems, as was noted, is ranking people according to their possession of things that are scarce and, therefore, highly prized. These scarce resources are popularly categorized as wealth, prestige, and power, or, in more sociological terms, class, status, and power. It is according to these dimensions that people are assigned a rank in society and relegated to a stratum with others who are ranked similarly.

班级

Class

尽管社会阶层的讨论在媒体中占据重要地位，而且“阶层”一词在日常对话中也随处可见，但大多数人仍难以准确定义它。美国人对社会阶层的理解尤其错误：尽管媒体让我们意识到不同群体的生活方式存在巨大差异，但大多数人仍然自认为属于中产阶级。

Although discussions of social class figure prominently in the media and the term is commonly used in conversation, most people would have difficulty defining the term with accuracy. Americans have an especially mistaken conception of social class: most volunteer that they belong to the middle class even though the media make us aware of the vast differences in lifestyles of different groups of people.

阶级定义：马克思和韦伯。如前所述，卡尔·马克思认为社会阶层的划分取决于社会群体与生产资料的关系。拥有大量社会财富（尤其是生产这些财富所需的工具和资本）的群体，对那些几乎一无所有或拥有任何财富的群体拥有控制权。缺乏资本的群体必须出卖劳动力才能生存。马克思的阶层划分方法及其阶级概念本质上是经济学的。

Definitions of Class: Marx and Weber. As noted earlier, Karl Marx viewed the division of society into classes as determined by the relationship of a group in society to the means of production. Groups that own a large proportion of the society’s wealth—particularly the tools and capital necessary to produce that wealth—have control over groups that own little of either. The groups lacking capital must sell their labor to survive. Marx’s approach to stratification and his concept of class are essentially economic in nature.

早期社会学家马克斯·韦伯（1864-1920）认为马克思主义的观点过于简单，认为阶级只是社会分层的一个维度。他提出了一种三重视角来看待阶级现象，并在其阶级定义中加入了“生活机遇”的概念（Gerth & Mills，1946）。韦伯客观地将阶级定义为由拥有相似生活方式的人群构成，这些生活方式由其社会经济地位决定，即由他们拥有的物品和增加收入的机会决定。现代社会科学家将金钱、商品和服务称为财产。

Arguing that the Marxist view was too simplistic and that class was only one dimension of stratification, the early sociologist Max Weber (1864–1920) proposed a threefold approach to the phenomenon and added the concept of life chances to his definition of class (Gerth & Mills, 1946). Weber defined class objectively as consisting of groups of people who had similar lifestyles dictated by their economic position in society, that is, by the goods they possessed and their opportunities for increasing their income. Modern social scientists refer to money, goods, and services as property.

生活机会。韦伯认为，财产并非阶级的唯一决定因素：个人的生活机会也同样重要。在韦伯看来，生活机会是每个人实现其人生潜能的机会。人们的生活机会取决于他们在阶层体系中的地位。地位越高，获得稀缺资源的机会就越多，因此个人的生活机会就越积极。地位越低，获得稀缺资源的机会就越少，生活机会就越消极。

Life Chances. Property is not the only determinant of class, according to Weber: equally important are a person’s life chances. Life chances, in Weber’s view, are the opportunities that each individual has of fulfilling his or her potential in life. People’s life chances are determined by their position within the stratification system. The higher that position, the more access there is to scarce resources and thus the more positive are the life chances of the individual. The lower the position, the less access there is to scarce resources and the more negative are the life chances.

如今，韦伯式的阶级概念趋于主流。社会阶级被定义为“社会中在某种权力、特权或声望方面处于相似地位的人群的集合”（Lenski，1966，74-75）。一些人由于职业、收入、教育和生活方式的相似性，将自己与其他人区分开来。随着时间的推移，他们与其他人之间的差异逐渐显现，并在不知不觉中统一起来，形成一个独立的社会层级或阶层——社会阶级。

Today, the Weberian concept of class tends to predominate. Social class is defined as “an aggregation of persons in a society who stand in a similar position with respect to some form of power, privilege, or prestige” (Lenski, 1966, 74–75). Some people, because of a similarity in occupations, income, education, and lifestyles, set themselves apart from the rest of the population. In time, they become sufficiently differentiated from others and unified—sometimes unknowingly—among themselves to constitute a separate social level or stratum—a social class.

地位

Status

地位是指个人或群体在社会中享有的社会尊重程度。在韦伯看来，地位是指社会体系中某个职位所享有的声望。地位最重要的因素在于它有等级之分——高、中、低——取决于与该地位相关的角色的价值。例如，由于医生，尤其是从事复杂领域的专家，在我们社会中备受推崇，因此该职位在美国享有很高的地位。

Status is the degree of social esteem that an individual or group enjoys in society. In the Weberian sense, status means prestige attached to a position within the social system. The most important element of status is that it is a ranked position—high, middle, low—determined by how the role attached to the status is valued. For instance, because the role of physician, particularly that of a specialist in a difficult field, is highly valued in our society, that position has a high status in the United States.

阶级和地位之间经常存在重叠，但这种重叠并非总是或必然发生。有些人可能收入高，但缺乏地位；相反，有些人可能地位高，但收入却不高。地位对大多数人来说非常重要，而对高地位的渴望是社会化过程中习得的。对地位的关注

There is frequently an overlap between class and status, but the overlap does not always, or necessarily, occur. Some people may have high incomes and lack status; conversely, some may have high status and lack a substantial income. Status is very important to most people, and the desire to obtain high status is learned as part of socialization. The concern for status

几乎影响着所有类型的决策，从选择汽车到选择配偶。对失去地位或荣誉的恐惧，是少数几个能够促使人们在战场上献出生命的动机之一。

influences almost every kind of decision, from the choice of a car to the choice of a spouse. Fear of the loss of status or honor is one of the few motives that can make men lay down their lives on the field of battle.

（Lenski，1966，37–38）

(Lenski, 1966, 37–38)

大多数人都善于评判他人的地位。在美国，地位往往主要取决于职业（后天获得的地位比先天或遗传的地位更为常见）。原因是职业是收入，尤其是教育水平的良好指标。在所有要求受访者对各种职业进行排名的调查中，需要研究生教育的职业排名最高。虽然高排名的职业通常收入较高，但情况并非总是如此：专科医生、部分律师和许多公司高管确实如此，但大学教授和研究科学家则并非如此。

Most people are quite adept at judging each other’s status. In the United States, status tends to depend primarily on occupation (achieved status is more frequent than ascribed, or inherited, status). The reason is that occupations are good indicators of income and particularly of education. In all surveys where respondents have been asked to rank a variety of occupations, the occupations requiring graduate-school training have been ranked highest. Although high-ranking occupations generally carry with them high incomes, this is not always the case: it is true for specialized physicians, some attorneys, and many corporate executives, but it is not true for college professors and research scientists.

其他决定社会地位的因素包括：出生于受人尊敬的家庭（“老钱”），居住在“合适的”社区，就读私立预科学校和常春藤盟校，加入高端乡村俱乐部，以及成为“合适的”教派成员。因此，影响社会地位的因素包括职业和收入来源、种族、教育、性别、年龄、宗教和民族血统。

Additional determinants of status are being born into a highly respected family (“old money”), living in the “right” kind of neighborhood, attending private preparatory schools and Ivy League universities, belonging to exclusive country clubs, and being members of the “right” church denominations. The factors that influence social status, then, include occupation and source of income, race, education, sex, age, religion, and ethnic origin.

地位不一致。人们有理由认为，与高社会地位直接相反的特征表明其地位低下。然而，在研究工业社会的过程中，社会学家已经意识到了地位不一致的现象。一个人可能积累了巨额财富，但如果这些财富来自有组织犯罪，并且缺乏教育背景和大多数其他高地位特质，那么这个人就属于地位不一致。相反，一个人可能因为输光了家产而缺乏任何可见的谋生手段，但可能因为家族昔日的荣耀而保持较高的地位。

Status Inconsistency. One would be justified in assuming that characteristics directly opposed to those associated with high social status indicate low status. However, in studying industrial societies, sociologists have become aware of the phenomenon of status inconsistency. A person may have amassed immense wealth, but if it is derived from organized crime and the person lacks the education and most of the other traits of high status, that person is status inconsistent. Conversely, a person may lack any visible means of support because of having gambled away the family fortune but may retain a high status because of the past glory attached to the family name.

人们的地位会不稳定这一发现引发了一些理论，他们认为，与地位始终如一的人相比，这类人更容易感到沮丧和不满 (Lenski, 1966)。那些在某一地位变量上排名较高的人（例如女医生或少数族裔棒球明星）会试图强调排名较高的变量，而淡化排名较低的变量。不幸的是，别人会根据他们的主人身份来评判他们，而主人身份是社会认为在多种身份选择中最重要的身份。女医生首先会被视为女性，可能会被误认为是护士。成为明星的运动员可能会因其运动天赋和高收入而受到钦佩，但他可能会被当作客人而忽略，永远不会被视为朋友。那些遭受地位不一致之苦的人，尤其是那些被剥夺了高地位的人，会通过远离上层地位群体来发泄他们的挫败感，至少在政治行动或哲学方面是这样（Cohn，1958；G. Marx，1967）。

Findings that people are subject to status inconsistency have led to theories speculating that such people will tend to suffer more frustration and dissatisfaction than those whose status is consistent (Lenski, 1966). Persons who are ranked higher on one variable of status than another—women doctors, for instance, or minority baseball stars—try to stress the higher-ranked variable and deemphasize the lower-ranked. Unfortunately, others will judge them by their master status, which is the status that society considers the most important of several alternatives. The woman doctor will be seen as a woman first and may be mistaken for a nurse. The athlete who has made it to star status may be admired for his athletic prowess and his high income, but he may be ignored as a guest and never considered a friend. People who suffer from status inconsistency, particularly those who are denied high status, take out their frustrations by turning away from upper-status groups, at least in terms of political action or philosophy (Cohn, 1958; G. Marx, 1967).

力量

Power

阶层分化的第三个重要维度——有些人认为是最重要的维度——是权力。权力被定义为不顾阻力，实现自身意愿的能力。它是指让他人去做自己想做的事情的能力，无论是否征得他们的同意。在韦伯看来，基于权力的阶层分化本质上是政治性的，而非经济性的。事实上，韦伯使用“政治阶层”或“政治政党”一词来指精英，即比社会中其他群体更强大的群体。权力在所有社会体系中都存在，从最简单到最复杂。

The third important dimension of stratification—some consider it the most important dimension—is power. Power is defined as the ability to carry out one’s wishes despite resistance. It is the ability to get other people to do what one wants them to do, with or without their consent. Stratification based on power is, in Weber’s view, essentially political rather than economic. In fact, Weber used the term political class or party to mean an elite, a group that is more powerful than other groups in society. Power is exercised in all social systems, from the simplest to the most complex.

在阶层分化中，权力可以分为个人权力和社会权力。个人权力是指个人以自己选择的方式主导自身生活、不受太多干预的自由。这种自由通常伴随着巨额财富。社会权力是指做出影响整个社区甚至整个社会的决策的能力。社会权力可以在社会成员同意的情况下合法行使。在这种情况下，它被称为权威。父母、老师和政府都代表着不同层级的权力。社会权力也可能被非法行使，即未经社会官方批准。例如，有组织犯罪就非法行使权力。

As applied to stratification, power can be divided into personal power and social power. Personal power is the freedom of individuals to direct their own lives in a way they themselves choose, without much interference. Such freedom often goes with great wealth. Social power is the ability to make decisions that affect entire communities or even the whole society. Social power may be exercised legitimately, with the consent of the members of society. In this case, it is called authority. Parents, teachers, and the government all represent different levels of authority. Social power may also be exercised illegitimately, that is, without the official approval of society. Organized crime, for instance, exercises power illegitimately.

权力是社会分层的一个重要维度，因为它影响着社会商品和服务的分配方式。它与阶级和地位等其他维度紧密交织。地位高的人很容易获得权力，无论是在政府、专业领域，还是在企业和银行圈。反过来，那些拥有权力的人可以控制决策，使事件对他们有利。在传统的非工业社会中，权力通常掌握在少数精英手中，而大多数人相对无权。然而，在工业社会中，权力分散在许多人手中，这主要是由于普选权和大多数人口普遍提高的生活水平。互联网上正在讨论后共产主义中国社会中权力的主导地位。

Power is such an important dimension of stratification because it affects the manner in which society’s goods and services are distributed. It is deeply interwoven with the other dimensions, class and status. High-status individuals have little trouble attaining positions of power, either in government, the professions, or corporate and banking circles. In turn, those in positions of power can control decision making in such a way that events are favorable to them. In traditional, nonindustrial societies, power is often held by a small elite, whereas the majority of people are relatively powerless. In industrial societies, however, power is spread among many people, largely as a result of universal suffrage and the generally better living standard of the majority of the population. The dominance of power in the post-Communist Chinese society is discussed on the Internet.

分层系统

Systems of Stratification

历史上，社会呈现出各种各样的分层体系。分层体系是指社会成员被划分为阶级、地位群体和权力等级的一种重叠方式。为了区分这些体系，社会科学家使用模型，将抽象的概念置于一个理想的连续统一体上。连续统一体的一端是封闭的，即种姓的分层体系。中间是等级制度。另一端是开放的，即阶级制度。每个社会的分层体系都位于这个理想连续统一体的某个位置。

Historically, societies have exhibited a variety of stratification systems. A stratification system is the overlapping manner in which societal members are ranked into classes, status groups, and hierarchies of power. To distinguish among them, social scientists use models, abstract conceptions that they place on an ideal continuum. At one extreme of the continuum is the closed, or caste, stratification system. The middle is represented by the estate system. At the other extreme is the open, or class, system. The stratification system of each society fits somewhere along this ideal continuum.

封闭社会：种姓

The Closed Society: Caste

一个社会的分层体系是开放的还是封闭的，取决于其成员获取财富、声望和特权的方式（韦伯式的阶级、地位和权力）。在封闭的（或称种姓）分层体系中，阶级、地位和权力是固定的，也就是说，严格基于家族传承，而非个人的努力或功绩。在封闭的社会中，个人出生在一个特定的社会阶层，称为种姓，没有机会进入或脱离这个阶层。

Whether a society has an open or a closed stratification system is determined by the way its members obtain wealth, prestige, and privilege (the Weberian class, status, and power). In a closed, or caste, stratification system, class, status, and power are ascribed, that is, determined strictly on the basis of family inheritance rather than on individual effort or merit. In a closed society, the individual is born into a specific social stratum, called a caste, and has no opportunity to move in or out of it.

古典印度是封闭社会的典型代表。那里盛行了数个世纪的种姓制度，其显著特征是，人们被划分为若干个种姓，代表着他们为社会服务的领域，并根据其对社会的重要性进行排序。一些等级划分也源于其他群体争夺权力或征服的结果。宗教和传统禁止某一种姓的成员与其他种姓的成员通婚或以任何方式交往。每个种姓的职业都受到限制，每个人的地位都是固定的，因此一个人继承了特定的社会地位，无论付出多少努力或取得多少成就都无法改变。（只有少数人，尤其是那些展现出非凡军事才能的人，才能获得更高的种姓，但违反某些规范则可能导致一个人跌入较低的种姓。）

Classical India was a good example of a closed society. The caste system that flourished there for many centuries was distinguished by the fact that people were divided into a number of castes, representing areas of service to society and ranked in order of their importance to it. Some ranking also resulted from struggles for power or conquest by other groups. Religion and tradition forbade members of one caste to intermarry or interact in any way with members of other castes. Each caste was restricted in occupation, and the status of each individual was ascribed, so that a person inherited a specific social position and was unable to change it, regardless of effort or achievement. (Only a limited number of people, particularly if they exhibited extraordinary military prowess, were able to attain a higher caste, although disobeying certain norms could plunge a person into a lower one.)

在深受西方民主思想影响的现代印度，种姓制度已在法律上被废除，但许多印度人，尤其是生活在农村地区的印度人，仍然保留着一些长期以来被宗教和传统习俗所认可的种姓制度元素。关于种姓制度残余的讨论，可以在网上找到。

The caste system has been legally abolished in modern India, which has been deeply influenced by Western democratic thought, but many Indians, particularly those living in rural areas, still follow some elements of the caste system that for so long had been justified by religion and traditional mores. A discussion of the lingering remains of the caste system may be found on the Internet.

庄园制度

The Estate System

等级制度是封建欧洲的经济和社会制度，并以不同的形式体现在亚洲许多国家。与种姓制度一样，等级制度中的社会地位也根据其职能进行排序；理论上，所有等级都具有同等重要性。三大主要等级是贵族、教会和农民，每个等级内部都存在着等级森严的等级制度。

The estate system was the economic and social system of feudal Europe and, in different forms, has characterized a number of nations in Asia. As in the caste system, in the estate system, social positions were also ranked according to their functions; in theory, all the estates were considered to be equal in importance. The three main estates were the nobility, the church, and the peasants, and within each estate there was a stratified hierarchy of positions.

在宗教和传统的支持下，等级制度允许社会阶层之间的流动性远高于种姓制度。由于只有长子才能继承贵族家庭的头衔和财产，其余的儿子要么从军，要么成为神职人员。有时，表现优异的农奴会被释放并获得土地，一些农民也被允许进入较低的祭司阶层。

Supported by religion and tradition, the estate system permitted quite a bit more mobility among social strata than did the caste system. Because only eldest sons could inherit the title and possessions of a noble family, the remaining sons had to enter either the military or the clergy. Occasionally, serfs who had distinguished themselves were freed and given land, and some peasants were allowed to enter the lower ranks of the priesthood.

在一些保留了地主阶级和世袭贵族头衔的现代社会中，等级制度的残余仍然可见。此外，该制度的某些元素可能被认为在一个世纪前美国南部的种植园中就已存在，尽管奴隶制在等级制度的连续体中更接近于种姓。等级制度是中世纪欧洲占主导地位的阶层制度；它也被称为封建制度。

The remnants of the estate system are still visible in some modern societies that retain a landed gentry and inherited titles of nobility. Also, some elements of the system may be recognized as having existed on the plantations of the American South a century ago, although slavery falls more within the caste spectrum on the continuum. The estate system was the dominant stratification system in Europe in the Middle Ages; it is also referred to as feudalism.

开放社会：阶级制度

The Open Society: Class System

现代工业社会和后工业社会，例如美国，最接近开放社会的模式。开放社会，或称阶级社会，具有以下共同特征：（1）阶级存在，但并非像种姓和等级制度那样制度化；（2）阶级界限不清晰，人们不会表现出过度的阶级意识，但阶级分化造成的不平等现象依然明显；（3）地位通常可以通过努力获得，但有证据表明，地位往往被赋予最低和最高的社会阶层；（4）社会流动是可能的，并且经常发生。

Modern industrial and postindustrial societies such as the United States most nearly approximate the model of an open society. Open, or class, societies have these characteristics in common: (1) classes exist but are not institutionalized as in the caste and estate systems; (2) class lines are unclear, so people do not display excessive class consciousness, but inequality stemming from class divisions is apparent; (3) status is usually achieved, but there is evidence to indicate that status tends to be ascribed to the lowest and the highest social classes; (4) social mobility is possible and occurs frequently.

开放的（或称阶级的）制度在实行市场经济的工业社会中最为有效，因为这些社会比实行集权经济的社会提供了更多获得财富和地位的机会。在政府控制的经济体中，人们可能没有机会选择自己的工作并最大化自身优势。更多有关这些主题的观点，请访问互联网。例如：www.study.com/academy/lesson/social-status-caste-vs-class-and-social-stratification.html。

Open, or class, systems work best in industrial societies that have market economies because these offer more opportunities for achieving wealth and status than do societies with centralized economies. In government-controlled economies, people may not have the opportunity to choose their jobs and maximize advantages. Additional perspectives on these subjects may be found on the Internet. For example: www.study.com/academy/lesson/social-status-caste-vs-class-and-social-stratification.html.

社会流动性——本质上是阶级成员的变动——在开放体系中是可能的，并且受到鼓励，但它在社会中的分布并不均匀。基于种族、民族、地域、教育甚至宗教因素的限制限制了流动性。然而，与封闭体系相比，个人在社会和身体活动方面仍然拥有更大的自由度。

Social mobility—essentially, changing class membership—is possible and encouraged in open systems, but it is not evenly distributed in the society. Limitations based on racial, ethnic, regional, educational, and even religious factors restrict mobility. However, the individual is still permitted much more leeway for social as well as physical movement than in closed systems.

所有社会的阶级制度都具有某些共同特征。社会阶级的兴起几乎总是伴随着核心政治机构的发展，其中最重要的便是国家。即使是那些信奉共产主义或社会主义意识形态的所谓无阶级社会——这些社会在衰落之前都拥有强大的国家——也都存在着阶级制度。此外，一个社会生产的剩余产品越多，其阶层分化就越严重，阶级制度也越复杂。即使在技术先进的社会中，大量的剩余产品能够惠及所有社会阶层，饥饿程度的贫困也只存在于极小的范围内，但阶级不平等现象依然十分严重。最后，权力和财富似乎是阶级制度中最重要的因素，而声望则发挥着次要的作用。

Class systems in all societies have certain characteristics in common. The rise of social classes is almost always accompanied by the development of central political institutions, foremost among which is the state. Even the so-called classless societies that espoused a communist or socialist ideology—all of which had strong states before their downfall—had a class system. Moreover, the more surplus a society produces, the more stratified it is and the more complex its class system is. Even though in technologically advanced societies the large surplus that is produced filters down to all social classes and starvation-level poverty exists to only a very small extent, class inequalities remain flagrant. Finally, power and wealth appear to be the most important elements of class systems, with prestige playing a less important role.

在当代工业社会中，无论资本主义还是社会主义经济体，权力与财富都紧密相连。在资本主义国家，富人更容易掌权；而在社会主义国家，权贵更容易致富。然而，两种经济体的阶层体系却惊人地相似。那些长期奉行类似封建阶层制度的社会，尽管在工业时代已经变得开放，但仍保留着严格的阶级界限。

In contemporary industrial societies, power and wealth are closely interconnected in both capitalist and socialist economies. In capitalist countries, the wealthy are more likely to come to power, and in socialist nations the powerful are likely to become wealthy. However, the stratification systems of both kinds of economies are strikingly similar. Societies that have a long tradition of feudal-like stratification, although they have become open in the industrial era, retain strong class boundaries.

决定社会阶层：职业声望和社会经济地位

Determining Social Class: Occupational Prestige and Socioeconomic Status

社会科学家不仅对现存社会阶层的数量存在分歧，而且对界定谁属于哪个阶层的标准也存在分歧。研究人员用来将人们划分社会阶层的类别是武断且人为的。

Social scientists disagree not only about the number of social classes in existence but also about the standards that determine who belongs in which class. The categories used by researchers to pigeonhole people into social classes are arbitrary and artificial.

历史上，人们使用过多种方法来确定社会阶层。然而，如今大多数研究人员只使用其中两种方法中的一种。在职业声望法中，研究人员会询问人们哪些职业和收入来源最有声望。这种方法依赖于大样本，通常是全国性的。职业声望法因其实用性而被证明是美国社会阶层的最佳指标。职业决定了收入的多少，而收入的多少又在许多情况下决定了权力的大小和声望。但金钱本身并不能决定社会阶层。有些职业即使收入相对较低，评价也很高，反之亦然。

Historically, a number of approaches have been used to determine social class. Today, however, most researchers use one of two. In the occupational prestige approach, researchers ask people which occupations and sources of income are the most prestigious. This approach depends on a large sample, usually on a national scale. The occupational prestige approach has proved to be the best index of social class in the United States because of its practicality. Occupation determines the amount of money that is earned, which in turn determines, in many cases, the amount of power wielded and the prestige held. But money alone does not determine social class. Some occupations are rated very high even though the monetary rewards are relatively low, and vice versa.

一种更常见的方法论手段是基于一个结合了多个与阶层相关的维度的指数。其中一个指数衡量社会经济地位（SES）。该指数一目了然地展现了个人在社会和经济等级中的地位。尽管存在地位不一致的情况，但由于美国社会阶层维度的关联性，这种指数的开发仍然是可能的。

A more common methodological device is based on an index that combines a number of dimensions relevant to stratification. One such index measures socioeconomic status (SES). Such an index shows at a glance the position of individuals in the social and economic pecking order. The development of such an index is possible despite instances of status inconsistency because of the related nature of the dimensions of stratification in American society.

美国的社会阶层

Social Classes in the United States

美国民众普遍缺乏对社会阶层的认知。也就是说，他们缺乏马克思主义意义上的阶级意识，即不为自身阶级利益而奋斗，而倾向于将自己定位为“中产阶级”。事实上，我们社会的阶层流动性很大，首先是因为我们缺乏传统的土地贵族阶层，其次是社会流动性允许人们改变社会阶层。然而，毫无疑问，人们的生活会因社会阶层的不同而有所差异；因此，尽管很难根据僵化的体系将人们划分到特定的阶层，但一些描述技巧仍然是必要的。

People are not generally aware of social classes in the United States. That is, they are not class conscious in the Marxian sense of working for the self-interest of their class, and they tend to characterize themselves as belonging to the “middle class.” In fact, social classes are very fluid in our society, first, because we lack a traditional landed aristocracy, and second, because social mobility allows people to change social class. Still, there is no question that people live different lives according to their social class; and so, despite the difficulty of assigning people to specific classes according to a rigid system, some descriptive technique is necessary.

阶级结构模型多种多样，最早的莫过于马克思主义模型，它将人们分为资产阶级（生产资料的所有者）和无产阶级（工人）。然而，美国的阶级结构通常分为五到六个层级，其比例大致如下：上上层，1.4%；下上层，1.6%；中上层，10%；中下层，28%；上下层，34%；下下层，25%。人口也可以按照美国人口普查局的做法，划分为五等分，即五等分（表7.1）。

There are a large number of models of class structure, beginning with the Marxist model, which divided people into the bourgeoisie (owners of the means of production) and the proletariat (workers). Usually, however, the American class structure is divided into five or six layers, consisting (more or less) of the following percentages: upper-upper, 1.4 percent; lower-upper, l.6 percent; upper-middle, 10 percent; lower-middle, 28 percent; upper-lower, 34 percent; and lower-lower, 25 percent. The population may also be divided into quintiles, or fifths, as the Census Bureau does (Table 7.1).

表 7.1 按选定特征划分的收入和收益汇总指标：2013 年*

TABLE 7.1 Income and Earnings Summary Measures by Selected Characteristics: 2013*

2013年^1月

2013¹

中位数收入（美元）

特征

数量（千）

估计

90% 置信区间² (±)

家庭

HOUSEHOLDS

所有家庭

All households

122,952

51,939

455

家庭类型

Type of Household

家庭户

Family households

81,192

65,587

643

已婚夫妇

Married-couple

59,669

76,509

674

女户主，无丈夫在场

Female householder, no husband present

15,193

35,154

832

男性户主，无妻子在场

Male householder, no wife present

6,330

50,625

1,503

非家庭住户

Nonfamily households

41,760

31,178

518

女户主

Female householder

22,266

26,425

795

男户主

Male householder

19,494

36,876

937

户主的种族³和西班牙裔血统

Race³ and Hispanic Origin of Householder

白色的

White

97,774

55,257

699

白人，非西班牙裔

White, not Hispanic

83,641

58,270

1,006

黑色的

Black

16,108

34,598

1,198

亚洲

Asian

5,759

67,065

2,830

西班牙裔（任何种族）

Hispanic (any race)

15,811

40,963

908

户主年龄

Age of Householder

65岁以下

Under 65 years

94,223

58,448

958

15至24岁

15 to 24 years

6,323

34,311

1,808

25至34岁

25 to 34 years

20,008

52,702

1,489

35至44岁

35 to 44 years

21,046

64,973

1,620

45至54岁

45 to 54 years

23,809

67,141

1,265

55至64岁

55 to 64 years

23,036

57,538

1,662

65岁及以上

65 years and older

28,729

35,611

722

户主的诞生

Nativity of Householder

土生土长的

Native born

105,328

52,779

754

外国出生

Foreign born

17,624

46,939

1,037

归化公民

Naturalized citizen

9,491

54,974

2,898

不是公民

Not a citizen

8,133

40,578

1,113

地区

Region

东北

Northeast

22,053

56,775

1,426

中西部

Midwest

27,214

52,082

1,160

南

South

46,499

48,128

1,104

西方

West

27,186

56,181

1,190

住宅

Residence

大都市统计区内

Inside metropolitan statistical areas

103,573

54,042

790

主要城市内

Inside principal cities

41,359

46,778

892

主要城市以外

Outside principal cities

62,213

59,497

1,090

大都市以外⁴

Outside metropolitan areas⁴

19,379

42,881

1,238

全职、全年工作者的收入

EARNINGS OF FULL-TIME, YEAR-ROUND WORKERS

有收入的男人

Men with earnings

60,769

50,033

404

有收入的女性

Women with earnings

45,068

39,157

596

^*收入以2013年美元计算。家庭和个人数据截至次年3月。

^* Income in 2013 dollars. Households and people as of March of the following year.

¹数据基于 68,000 个地址的 CPS ASEC 样本。

¹ Data are based on the CPS ASEC sample of 68,000 addresses.

² 90% 的置信区间衡量的是估计值的变异性。相对于估计值的大小，置信区间越大，估计值的可靠性越低。

² A 90 percent confidence interval is a measure of an estimate’s variability. The larger the confidence interval in relation to the size of the estimate, the less reliable the estimate.

来源：改编自美国人口普查局《当前人口调查，2013 年和 2014 年度社会和经济补充报告》www.census.gov/content/dam/Census/library/publications/2014/demo/p60-249.pdf。

Source: Adapted from US Census Bureau, Current Population Survey, 2013 and 2014 Annual Social and Economic Supplements www.census.gov/content/dam/Census/library/publications/2014/demo/p60-249.pdf.

上层阶级

The Upper Classes

上层阶级几乎完全是由那些凭借先天地位（即继承的“旧”财富）而跻身其中的人组成的。他们拥有几代人积累的巨额财富，并通过精明的投资不断增值，过着一种很少有美国人能想象的尊贵生活方式。这个社会阶层的成员通常居住在精英社区，住着往往藏有顶级艺术品的豪宅，此外还在国内外拥有度假屋；他们把孩子送往私立预科学校（他们自己也曾就读于此）和常春藤盟校，在那里，孩子们攻读文科学位，而不是专门的职业课程。他们意识到自己的优越地位，大多数人投身慈善事业，志愿服务，向医院、慈善和艺术组织以及其他“有价值的”事业捐款。通过这种方式，他们确立了自己在所居住城市的“精英”地位。最终，他们结识了政治建制派的成员，从州长到国会议员，从最高法院法官到美国总统。毋庸置疑，这样的熟人不仅能增加威望，还能增加权力。

The upper-upper class consists almost exclusively of people who belong to it as a result of ascribed status, that is, inherited, “old” wealth. Possessing vast fortunes accumulated through several generations, and added to through shrewd investments, this group lives an exclusive lifestyle few Americans can even imagine. Members of this social class generally reside in elite neighborhoods, in mansions often filled with first-rate art, in addition to owning additional vacation homes here and abroad; they send their children to private preparatory schools (which they themselves also attended) and Ivy League universities, where they pursue liberal arts degrees rather than specifically vocational courses of study. Conscious of their privileged situation, most engage in philanthropic endeavors, volunteering time and donating money to hospitals, charitable and artistic organizations, and other “worthy” causes. In this way they establish themselves as the “elite” of the cities in which they live. Eventually they come to know members of the political establishment, from governors to members of Congress, from Supreme Court justices to the president of the United States. Needless to say, such acquaintances add not only prestige but also power.

低收入阶层通常拥有与富人收入相近甚至更高的收入，但他们的不同之处在于，这些收入往往是靠自己挣来的。这些人大多是“白手起家”的，无论他们目前的财富是来自体育、演艺、电视、电影还是源于精明的商业交易。有些人可能继承了财富或接受了良好的教育，而另一些人则可能出身贫寒。比尔·盖茨就是一个很好的例子，他的父母都是专业人士，生活富裕，他自称“技术宅”，却将自己对计算机的兴趣投入到微软公司，这家公司也让其创始人成为了亿万富翁。

The lower-uppers, often disposing of similar or even greater income, differ in that the income tends to have been earned. These are mostly “self-made” individuals, whether their current wealth comes from talents—sports, show business, television, movies or from shrewd business transactions. Some may have inherited some wealth or have received a fine education, whereas others may come from very modest backgrounds. A perfect example is Bill Gates, the son of professional and well-to-do parents, a self-described “technie-nerd” who purveyed an interest in computers into the Microsoft Corporation, a company that has made its founder a multibillionaire.

这两个群体占据了美国收入的绝大部分。事实上，他们被称为“1%”的人口，以区别于我们剩下的“99%”。（需要区分的是，收入是每年赚取的，而财富则包括一个人积累的所有财产。虽然收入差距很大，但财富差距更加显著。）此外，经济学家现在观察到，即使在收入最高的人群中，也存在着巨大的不平等。例如，2012年，在90%的收入分配中，底层家庭的平均收入约为30,997美元。而收入分配中顶层1%的家庭的平均收入为1,264,065美元，而收入分配中更低的0.1%的家庭的平均收入为6,373,782美元（Lowrey，2014，F2）。这意味着0.1%人群的收入是普通家庭收入的206倍，是1%人群收入的41倍。大约25年前，即1990年，这两个倍数分别为87倍和21倍，而1980年则分别为47倍和14倍。这些数据表明，富人与90%人群的收入差距巨大，即使在超级富豪中，收入差距也很大。

These two groups receive a lion’s share of the income produced in the United States. In fact, they are referred to as the “one percent” of the population, to distinguish them from the “99 percent,” which refers to the rest of us. (A distinction should be made between income, which is earned yearly, and wealth, which includes all of a person’s accumulated possessions. Although there is considerable inequality in incomes, the inequality in wealth is still more dramatic.) Moreover, economists are now observing that even among the top percentages there is great inequality. For example, in 2012, the average household in the bottom of the 90 percent income distribution earned around $30,997. For the average household in the top 1 percent of the income distribution, the figure was $1,264,065, and for the still smaller 0.1 percent, the figure was $6,373,782 (Lowrey, 2014, F2). This means that the income of the 0.1 percent is 206 times the income of the average household, and 41 times the income of the 1 percent. About 25 years earlier, in 1990, the multiples were 87 and 21, and in 1980, they were 47 and 14. What these figures indicate is that the wealthy diverge enormously from the 90 percent, but even among the very wealthy there is a large divergence in incomes.

1% 的人往往是专业人士——例如非常成功的律师和医生——以及艺术家和大学教授。0.1% 的人大多是高管、经理、主管，或者来自金融界。

Those in the 1 percent category tend to be professionals—lawyers and doctors who have been exceptionally successful—as well as artists and university professors. Those in the 0.1 percent category are mostly executives, managers, supervisors, or they come from the world of finance.

尽管下层上流人士的收入往往是天文数字——一些首席执行官、影视明星一天的收入相当于普通美国工人一年甚至一生的收入——但他们仍然被上层上流人士鄙视为“新富”，认为有必要进行炫耀性消费来向世界炫耀他们已经“成功”。另一方面，上层上流人士不需要向任何人证明任何事情，因为他们一直生活在特权阶层中。因此，他们的生活方式往往更加谨慎和低调。然而，下层上流人士却被大多数美国人视为榜样，因为正是他们的成功故事构成了“美国梦”，并且是一个流行的文化目标。

Although the income of the lower-uppers is often astronomical—some CEOs and TV and movie personalities earn as much in a day as the average American worker does in a year and sometimes in a lifetime—they are still disdained by the upper-uppers as the “new rich,” who find it necessary to engage in conspicuous consumption to show the world they have “arrived.” The upper-uppers, on the other hand, do not have to prove anything to anyone, having always lived in privilege. Therefore, they tend to be much more discreet and understated in their lifestyles. It is the lower-uppers, however, who are taken as role models by most Americans because it is their kind of success stories that make up the “American dream” and are a popular cultural goal.

中产阶级

The Middle Class

美国人口中约有一半到四分之三属于中产阶级（还有更多人自认为是中产阶级，但实际上并非如此）。中产阶级的收入在25,500美元到76,500美元之间。2013年的家庭收入中位数约为51,939美元。自1999年以来，这一数字下降了约5,000美元。

Between one-half and three-quarters of the American population fits into the middle class (and many more think they are middle class when they actually are not). Middle-class incomes range between $25,500 and $76,500. The median household income in 2013 was around $51,939. That is a decrease of around $5,000 since 1999.

那么，这个类别又必须细分为中上、中中和中下三个等级。此外，由于它涵盖了如此广泛的美国人群体，很难明确这些细分之间的界限。

This category, then, must also be subdivided into an upper-middle, middle-middle, and lower-middle classification. In addition, because it includes such a wide spectrum of Americans, it is difficult to specify boundaries between these subdivisions.

总体而言，中上阶层由受过高等教育的专业人士（例如医生、律师、股票经纪人、会计师等等）以及家族企业主组成。这些人通常收入丰厚（尽管不如1%的富人那么多），大多居住在郊区，积极参与社区事务，努力让孩子获得丰富的体验，并努力为他们提供良好的教育。该群体还包括年轻的城市专业人士，即所谓的雅皮士，他们比父母受教育程度更高，单身或新婚，更倾向于居住在城市地区，以便充分利用文化和娱乐机会。

In general, it may be said that the upper-middle class consists of highly educated professionals—doctors, lawyers, stockbrokers, accountants, and so on—and owners of family businesses. Such persons tend to make comfortable incomes (though not as large as the 1 percenters), live mostly in the suburbs, actively participate in community affairs, try to expose their children to enriching experiences, and attempt to give them a good education. The group also includes young urban professionals, so-called yuppies, who are better educated than their parents and, being single or recently married, prefer to live within the city limits to take advantage of cultural and recreational opportunities.

中产阶级（以及根据收入划分的中下阶层）包括小店主、公立学校教师等低级专业人士，以及从销售员到银行柜员、从护士到办公室职员等各种白领雇员。他们的收入低于中上阶层，家庭通常依靠不止一份薪水维持生计。

The middle-middle class (and the lower-middle, depending on income) consists of small shop owners; the lesser professionals, such as public school teachers; and a variety of white-collar employees, from sales clerks to bank tellers, from nurses to office workers, and so on. Their incomes are lower than those of the upper-middle class, and families usually depend on more than one paycheck.

自从欧洲工业革命后中产阶级出现以来，它就被刻板地定义为思想狭隘、生活方式墨守成规的人。在美国，人们认为中产阶级居住在郊区，住着千篇一律、带有双车位车库的房子，丈夫通勤上班，妻子则开车送孩子参加各种活动。人们认为中产阶级表面上以家庭为中心，传统上信奉宗教。然而，当社会学家开始对郊区进行实证研究时，他们发现那里居住着各种各样的人，他们有着不同的价值观和经济现实。简而言之，我们仍然很难确切地定义谁是“中产阶级”，但我们知道，由于这个社会阶层如此庞大且多元化，它作为一种文化符号也具有很大的影响力。

The middle class has been stereotyped, ever since it appeared following the Industrial Revolution in Europe, as consisting of people with a narrow range of ideas, who follow conforming lifestyles. In the United States, they were thought to inhabit the suburbs, where they lived in identical houses with two-car garages, in which the husband commuted to work while the wife chauffeured the children to a variety of activities. They were thought to be family centered on the surface and conventionally religious. When sociologists began to investigate the suburbs with empirical studies, however, they found that they contained a wide variety of people with differing values and economic realities. In short, it is still difficult to define who, exactly, is “middle class,” but we know that because this social class is so large and diverse, it is also very influential as a cultural symbol.

自2007-2008年经济衰退以来，中产阶级的人数急剧下降。皮尤研究中心的一项调查显示，认为自己属于中下阶层或下层阶级的人数（44%）高于认为自己属于中产阶级的人数（40%）（www.pewresearch.org/fact-tank/2014/01/27/despite-recovery-fewer-americans-identify-as-middle-class）。其原因在于全球经济的变化：中等技能、中等收入的工作岗位正在消失，而低技能和高技能工作的就业岗位在过去几十年里几乎增加了一倍。您可以在网上搜索“中产阶级衰落”这个话题。此外，请访问人口普查局网站，了解美国的阶级制度结构：www.census/gov/content/dam/Census/library/publications/2014/demo/p60-249.pdf。另请参阅：www.fas.org/sgp/crs/misc/S20811.pdf。

Since the recession of 2007–2008, there has been a dramatic decline in the number of people who make up the middle class. According to a survey by the Pew Research Center, more people consider themselves lower-middle or lower class (44 percent) than consider themselves middle class (40 percent) (www.pewresearch.org/fact-tank/2014/01/27/despite-recovery-fewer-americans-identify-as-middle-class.) The reasons are to be found in the changes occurring in the global economy: middle-skill, middle-income jobs are disappearing, while employment in low-skilled and high-skilled jobs have increased by almost 100 percent in the past few decades. Check out the subject of the declining middle class on the Internet. In addition, visit the Census Bureau to see how the American class system is structured: www.census/gov/content/dam/Census/library/publications/2014/demo/p60-249.pdf. Also, read: www.fas.org/sgp/crs/misc/S20811.pdf.

工人阶级

The Working Class

工人阶级约占总人口的三分之一，其中可能包括中下阶层的成员。工人阶级由从事技术或半技术职业的人员组成，例如工匠、工头、基层管理人员、非零售销售代表（约占总人口的30%），以及从事非技术蓝领职业的人员，例如零售销售、服务人员和低薪体力劳动者（约占总人口的13%）。这些工人的年收入在2.5万至3.5万美元之间（大城市最高可达5万美元），一般低于中产阶级的收入。一些“粉领”工人——秘书、办公室职员、销售员、餐厅工作人员——每周收入不高，也可以算作工人阶级，尽管他们中的许多人更愿意将自己视为中产阶级。

The working class comprises approximately one-third of the population and may include members of the lower-middle class. It consists of people who work in skilled or semiskilled occupations, such as craftsmen, foremen, lower-level managers, nonretail sales representatives (representing around 30 percent of the population), and unskilled blue-collar occupations, such as retail sales, service workers, and low-paid manual workers (representing about 13 percent of the population). The incomes of such workers range between $25,000 and $35,000 a year (up to $50,000 in large cities) and generally fall below those of the middle classes. Some “pink collar” workers—secretaries, office workers, sales clerks, restaurant workers—who earn modest weekly wages can also be counted as members of the working class, although many of them prefer to think of themselves as middle class.

由于全球化和制造业向劳动力成本更低的国家转移，美国的工人阶级正在经历巨大的变化。但即使在较为稳定的时期，这个社会阶层也一直面临着被裁员和临时工的困境，因此劳动人民的经济状况一直岌岌可危。由于家庭收入通常来自最低工资的工作，因此必须有两个或两个以上的人工作。由于经济衰退持续数年削弱了美国经济，大多数年轻的工人阶级家庭无力买房，尽管他们的父母几年前在一个普通的社区里还能买得起房子。除了经济问题之外，工人阶级往往从事着低级、重复且缺乏挑战性的工作，因此他们从中获得的满足感微乎其微。大多数工人阶级尽管其中约三分之一的孩子最终获得了大学学位，但他们却无力支付大学学费，因此高中毕业后就被迫就业。当然，由于缺乏技能，他们能找到的工作机会少，而且薪水低。

The working class is undergoing dramatic changes in the United States as a result of globalization and the shift of manufacturing to countries where labor is cheaper. But even in more stable times, this social class has always been subject to layoffs and temporary employment, so that working people’s financial situation has always been precarious. With a household income often derived from minimum wage jobs, two or more people must work. Because of the recession that had weakened the American economy for several years, most young working-class families cannot afford to buy a house, even though their parents were able to buy one years ago in a modest neighborhood. In addition to economic problems, working-class people also tend to have jobs that are menial, repetitive, and unchallenging, so that they obtain little satisfaction in performing them. Most working-class children cannot afford college—although approximately one-third of this group do manage to obtain a college degree—and so are forced into jobs immediately after high school. Of course, lacking skills, the jobs that are available to them are few and low paying.

这个社会阶层的族裔构成多元，但亲近感并未带来团结。相反，不同族裔群体视彼此为工作岗位的竞争者，尤其是在我们正经历的转型时期，许多制造业岗位正在消失，重工业正使用机器人和计算机取代人力。请将自己置于哪个社会阶层：www.nytimes.com/pages/national/class/index.html。

This social class is diverse in its ethnic and racial composition, but proximity has not resulted in solidarity. Rather, the various ethnic and racial groups see one another as competing for jobs, especially in transitional times such as we are experiencing now, when many manufacturing jobs are disappearing and heavy industry is using robots and computers instead of human brawn. Place yourself in a social class: www.nytimes.com/pages/national/class/index.html.

穷人

The Poor

美国政府将贫困定义为个人无力提供食物、衣服和住所等基本生活保障的收入水平。美国人口普查局数据显示，2013年，14.5%的美国人（约4530万人）生活在贫困线以下。这一比例较上一年有所下降，但2012年非西班牙裔白人的贫困率比2008年有所上升，从8.6%上升至9.7%，非洲裔美国人的贫困率上升至27.2%，西班牙裔美国人的贫困率从23.2%上升至25.6%。18岁以下儿童的贫困率下降至19%，非洲裔儿童的贫困率下降至37.7%，西班牙裔儿童的贫困率下降至30.4%，白人儿童的贫困率下降至10.7%。（www.americanprogress.org/issues/econ/report/2014）

The U.S. government defines poverty as the level of income at which a person is incapable of providing such basics as food, clothing, and shelter. The Census Bureau listed 14.5 percent of Americans, representing approximately 45.3 million people, as living below the poverty line in 2013. The rate decreased somewhat from the year before, but in 2012, it had increased from 2008 for non-Hispanic Whites from 8.6 percent to 9.7 percent, for African Americans to 27.2 percent, and for Hispanics from 23.2 percent to 25.6 percent. The rate for children under 18 decreased to 19 percent, for African-American children to 37.7 percent, for Hispanic children 30.4 percent, and for white children to 10.7 percent. (www.americanprogress.org/issues/econ/report/2014).

需要记住的是，如今绝大多数（57%）的美国贫困人口正处于黄金工作年龄，即18至64岁之间。而在过去，该年龄段中只有41%的人生活在贫困线以下（www.pewresearch.org/fact-tank/2014）。

What is important to remember is that today the vast majority (57 percent) of poor Americans are in their prime working years, that is, between 18 and 64. In the past, only 41 percent of that age group lived below the poverty level (www.pewresearch.org/fact-tank/2014).

贫困人数和贫困率：1959年至2013年

Number in Poverty and Poverty Rates: 1959 to 2013

图 7.2

FIGURE 7.2

注：数据点位于各年份的中点。有关保密性保护、抽样误差、非抽样误差及定义的信息，请参阅< ftp://ftp2.census.gov/programs-survey/cps/techdocs/cpsmar14.pdf >。

Note: The data points are placed at the midpoints of the respective years. For information on confidentiality protection, sampling error, nonsampling error, and definitions, see <ftp://ftp2.census.gov/programs-survey/cps/techdocs/cpsmar14.pdf>.

美国人口普查局，《当前人口调查》，2013 年和 2014 年度社会和经济补充报告www.census.gov/content/dam/Census/library/publications/2014/demo/p60-249.pdf。

US Census Bureau, Current Population Survey, 2013 and 2014 Annual Social and Economic Supplements www.census.gov/content/dam/Census/library/publications/2014/demo/p60-249.pdf.

贫困测量标准于 1964 年开始制定。它要求根据家庭规模、户主的性别和年龄、18 岁以下子女的数量以及居住地是城市还是农场等因素确定收入水平范围。每年，物价水平的修订都基于消费者物价指数的变化。记录显示，从 1967 年到 1981 年，贫困率在 11.1% 到 14.2% 之间。另一种报告贫困率的方法显示的数字甚至更高，因为早期的测量方法没有将医疗保健、交通、儿童保育的上涨或生活成本的地区差异考虑在内。新世纪头四年席卷美国的经济衰退使贫困率再次上升，而 2007-2010 年期间的经济崩溃使贫困率进一步上升。美国人口普查局在互联网上的“贫困”栏目下有大量关于美国贫困的信息。

The measurement of poverty was instituted in 1964. It called for establishing a range of income levels according to factors such as family size, sex and age of the family head, number of children under 18, and urban or farm residence. Every year, revisions of price levels are based on changes in the consumer price index. Records show that the poverty rate varied between 11.1 percent and 14.2 percent from 1967 to 1981. An alternative method of reporting poverty shows even higher figures because the earlier manner of measurement did not factor in rising medical care, transportation, child care, or geographical variation in living costs. The recession that hit the United States in the first four years of the new century pushed the poverty rate upward again, and the economic meltdown of the 2007–2010 period pushed it even higher. Under the rubric “Poverty,” the U.S. Bureau of the Census on the Internet has a multitude of information about poverty in the United States.

在这个社会里，贫困是指收入低于平均水平的情况；因此，我们讨论的不是绝对贫困，即没有足够的收入来满足最基本的生存必需品。我们讨论的是相对贫困，即在特定的时间和地点，人们与社会中的其他人相比处于贫困状态。某些群体比其他群体更容易出现贫困。例如，在只有女性户主而没有丈夫的家庭中，贫困是长期存在的。这种现象被称为贫困女性化。由于未婚母亲生育增加以及婚姻和非婚姻关系破裂率上升，单亲家庭已不再罕见。自 1980 年代中期以来，六岁以下儿童的贫困增长率比其他年龄段高出几个百分点，也远远高于总体贫困率。美国国家贫困儿童中心的一项研究得出结论，美国是西方工业化国家中儿童贫困率最高的国家（Sengupta，2001，WK3）。美国贫富差距不断扩大，以及1996年通过的联邦福利法要求部分领取公共福利金的儿童必须就业，进一步加剧了这一状况。在所研究的18个工业化国家中，美国贫困儿童获得的帮助最少（Bradsher，1995b，A7）。有关儿童贫困的最新数据，请访问www.nccp.org/publications/pub_1098.html。

Poverty in this society is the condition of having less income than the average person; thus, we are not dealing with absolute deprivation, or not having enough income to provide the barest necessities for survival. We are dealing with relative deprivation, a condition in which people are deprived in comparison to others in their society at a particular time and place. Poverty occurs more frequently among some groups than others. It is chronic, for instance, in families with a female householder in which no husband is present. This phenomenon is referred to as the feminization of poverty. As a result of the increase in births to unmarried mothers and greater rates of dissolution of marital and non-marital unions, single parenthood is no longer rare. Since the mid-1980s, the poverty growth rate for children under six years of age has been several percentage points higher than that of any other age group and much higher than the overall poverty rate. A study by the National Center for Children in Poverty concluded that the United States has the highest rate of young-child poverty of any Western industrialized nation (Sengupta, 2001, WK3). This situation has been exacerbated by the growing income gap between the affluent and the poor in this country, as well as by the federal welfare law passed in 1996 requiring a proportion of those on public welfare rolls to find jobs. Of 18 industrialized nations studied, American poor children received the least help (Bradsher, 1995b, A7). For the latest figures on childhood poverty, see www.nccp.org/publications/pub_1098.html.

各年龄段贫困率：1959 年至 2013 年

Poverty Rates by Age: 1959 to 2013

图7.2

Figure 7.2

注：数据点位于相应年份的中点。1960 年至 1965 年期间，18 至 64 岁和 64 岁及以上人群的数据缺失。有关保密保护、抽样误差、非抽样误差和定义的信息，请参阅 < ftp://ftp2.census.gov/programs-surveys/cps/techdocs/cpsmar14.pdf >/

Note: The data points are placed at the midpoints of the respective years. Data for people aged 18 to 64 and 64 and older are not available from 1960 to 1965. For information on confidentiality protection, sampling error, nonsampling error, and definitions, see <ftp://ftp2.census.gov/programs-surveys/cps/techdocs/cpsmar14.pdf>/

美国人口普查局，《当前人口调查，1960 年至 2014 年年度社会和经济补充》www.census.gov/content/dam/Census/library/publications/2014/demo/p60-249.pdf。

US Census Bureau, Current Population Survey, 1960 to 2014 Annual Social and Economic Supplements www.census.gov/content/dam/Census/library/publications/2014/demo/p60-249.pdf.

贫困本身就是一种负担，对儿童的伤害尤其巨大。一项针对儿童大脑的研究发现，低收入家庭九岁至十岁儿童的大脑功能损伤类似于中风。由于前额叶皮质受损，这些儿童在智力和学业成绩测试中的表现低于社会经济地位较高的儿童。至于造成这种功能障碍的原因，研究人员认为，这些儿童承受着更大的压力，并且缺乏获得刺激性材料和体验的机会，导致语言发育不良，并影响了他们在学校的规划、记忆细节和专注于具体事物的能力（Kishiyama 等，2009，第 1106-1115 页）。

Poverty in itself is a burden, but it is especially damaging to children. According to a study of children’s brains, the brain functions of low-income nine- and ten-year-olds show damage similar to that from a stroke. These children perform below children in higher socioeconomic strata on tests of intelligence and academic achievement as a result of their prefrontal cortex being disrupted. As for the reasons for this dysfunction, the researchers suggest that these children experience greater levels of stress and have a lack of access to stimulating materials and experiences, resulting in faulty language development and affecting their ability to plan, remember details, and focus on specifics in school (Kishiyama et al., 2009, pp. 1106–1115).

尽管很难相信这样的情况竟然存在于世界上最富裕的国家，但2012年仍有超过4900万美国人（占总人口的六分之一）难以获得足够的食物。（www.ers.usda.gov/publications/err-economicresearch-report，“2012年美国家庭粮食安全”）。经济衰退导致许多人的收入大幅下降。失业且无法找到新工作的人往往需要依靠食品券，有时甚至需要依靠施粥所来维持生计。

Although it is difficult to believe that such a situation exists in the wealthiest country in the world, more than 49 million Americans—one in six—struggled to get enough to eat in 2012. (www.ers.usda.gov/publications/err-economicresearch-report, “Household Food Security in the United States in 2012”). The recession has produced some spectacular falls in income for many individuals. Persons who have lost jobs and were unable to find others often need to depend on food stamps, and sometimes on soup kitchens, to stave off hunger.

2012年，65岁以上的老年人约占贫困线以下人口的9.1%。然而，随着老年人数量的增加，贫困人口正在减少。目前的比例远低于1959年35.2%的贫困率。最后，与刻板印象相反，并非所有贫困人口都集中在内城区：只有约17.7%的贫困人口居住在大型中心城市，而约9%的贫困人口居住在中心城市以外。此外，约15.1%的贫困人口居住在非大都市的农村地区，这些地区就业困难。在人口普查局网站www.blogs.census.gov/2014/09/16/child-poverty-down-income-of-families-with-children-up/上可以找到许多详细列出贫困人口数量、百分比和特征的表格。

The elderly, people over 65, made up about 9.1 percent of those who lived below the poverty level in 2012. As their numbers increase, however, fewer of them remain in poverty. The current percentage is considerably lower than the 35.2 percent who lived in poverty in 1959. Finally, and contrary to the stereotype, not all the poor are concentrated in inner cities: only around 17.7 percent of them live in large central cities, whereas about 9 percent live outside central cities. In addition, approximately 15.1 percent live in nonmetropolitan, rural areas, where employment is difficult to obtain. A number of tables detailing numbers, percentages, and characteristics of the poor may be found on the Census Bureau Web site, www.blogs.census.gov/2014/09/16/child-poverty-down-income-of-families-with-children-up/.

表 7.2 2013 年各类贫困家庭情况*

TABLE 7.2 Families in Poverty by Type of Family: 2013*

^*数量以千为单位，置信区间[CI]以千或百分点为单位，具体视情况而定。家庭数据截至次年3月。有关保密保护、抽样误差、非抽样误差及定义的信息，请参阅ftp://ftp2.census.gov/programs-surveys/cps/techdocs/cpsmar14.pdf。

^* Numbers in thousands, confidence intervals [C.I.] in thousands or percentage points as appropriate. Families as of March of the following year. For information on confidentiality protection, sampling error, nonsampling error, and definitions, see ftp://ftp2.census.gov/programs-surveys/cps/techdocs/cpsmar14.pdf)

¹数据基于 68,000 个地址的 CPS ASEC 样本。

¹ Data are based on the CPS ASEC sample of 68,000 addresses.

² 90% 的置信区间衡量的是估计值的变异性。相对于估计值的大小，置信区间越大，估计值的可靠性越低。

² A 90 percent confidence interval is a measure of an estimate’s variability. The larger the confidence interval in relation to the size of the estimate, the less reliable the estimate.

来源：改编自美国人口普查局《当前人口调查，2013 年和 2014 年度社会和经济补充报告》www.census.gov/content/dam/Census/library/publications/2014/demo/p60-249.pdf。

Source: Adapted from US Census Bureau, Current Population Survey, 2013 and 2014 Annual Social and Economic Supplements www.census.gov/content/dam/Census/library/publications/2014/demo/p60-249.pdf.

社会学家威廉·J·威尔逊 (William J. Wilson) 曾撰文探讨过“真正弱势群体”的存在，这一群体约占官方贫困人口的 10%（一些评论员将这一群体称为下层阶级，但该词带有贬义）。这一社会阶层依靠政府救济过着仅能糊口的生活。其成员要么有严重的健康问题，要么严重缺乏任何可销售的技能。失业和单亲家庭是这一群体面临的两大问题。失业的原因是大量非技术和半技术性工作从中心城市流向郊区，部分原因是此类工作消失，而需要更多教育和技术知识的工作增多（经济和美国资本主义的重组）。这种结构性变化导致了一种持续的、在某些情况下是永久的贫困，与社会其他阶层隔绝的个人很少能够摆脱这种贫困。

Sociologist William J. Wilson has written about the existence of the “truly disadvantaged,” a class consisting of approximately 10 percent of those who are officially poor (some commentators have called this segment of the population an underclass, but this term has negative connotations). This social class lives a subsistence lifestyle with government help. Its members have severe health problems or are seriously lacking in any salable skills. Unemployment and single-parent homes are the two major problems faced by this group. Unemployment has resulted from the exodus of unskilled and semiskilled jobs from the central cities to the suburbs and partly from the disappearance of such jobs altogether in favor of jobs that require more education and technological know-how (the restructuring of the economy and of American capitalism). This structural change has given rise to a persistent and in some cases permanent type of poverty, from which individuals, cut off from the rest of society, are seldom able to escape.

无家可归者

The Homeless

另一个非常明显的贫困群体是无家可归者。无家可归现象始于20世纪70年代，并持续到20世纪80年代初的经济衰退时期。与那些认为这只是暂时问题的人相反，这一现象仍在持续。如今，尤其是在经济衰退的影响仍在持续的情况下，无家可归者的数量仍在不断增加。纽约和洛杉矶是无家可归者最多的地区（美国住房和城市发展部）。另请参阅：www.onecpd.info/resources/documents/AHAR-2013-Part1.pd。这项关于无家可归者的调查因其统计方式而受到批评。批评人士声称，无家可归者人数有所增加，尤其是在伊拉克和阿富汗退伍军人群体中（www.usatoday.com/story/opinion/2014/01/16/homeless-problem-obama-america-recession-column/4539917）。

Another segment of the poor that is very visible consists of the homeless. The phenomenon of homelessness began in the 1970s, continued through a recessionary period in the early 1980s and, contrary to those who considered it a temporary problem, goes on today, especially as a result of the recession whose effects are still going on. The largest contingent of the homeless is found in New York and Los Angeles (U.S. Department of Housing and Urban Development). See also: www.onecpd.info/resources/documents/AHAR-2013-Part1.pd. This survey of the homeless has been criticized because of the way the homeless are counted. Critics assert that homelessness has increased, especially among Iraq and Afghanistan veterans (www.usatoday.com/story/opinion/2014/01/16/homeless-problem-obama-america-recession-column/4539917).

2013年不同贫困程度人口的人口构成

Demographic Makeup of the Population at Varying Degrees of Poverty: 2013

图7.3

Figure 7.3

有关保密保护、抽样误差、非抽样误差和定义的信息，请参阅< ftp://ftp2.census.gov/programs-surveys/cps/techdocs/cpsmar14.pdf >。

For information on confidentiality protection, sampling error, nonsampling error, and definitions, see <ftp://ftp2.census.gov/programs-surveys/cps/techdocs/cpsmar14.pdf>.

美国人口普查局，《当前人口调查》，2014 年度社会和经济补充报告www.census.gov/content/dam/Census/library/publications/2014/demo/p60-249.pdf

US Census Bureau, Current Population Survey, 2014 Annual Social and Economic Supplements www.census.gov/content/dam/Census/library/publications/2014/demo/p60-249.pdf

对大多数美国人来说，无家可归是一个令人深感不安的现状，因为它引发了一系列问题，其中包括：一个人对同胞的责任是什么？美国的经济和社会制度究竟出了什么问题，导致这种状况存在？更多信息，请访问互联网上的多个网站。

Homelessness is a deeply disturbing situation to most Americans because it raises a variety of questions, among them: what is an individual’s responsibility to his or her fellow human beings, and what has gone wrong with American economic and social institutions to allow this condition to exist? More information is available at several Web sites on the Internet.

社会阶层及其后果

Social Class and Its Consequences

人生机遇的概念，尤其是它因社会阶层而异这一事实，在先前关于韦伯社会阶层观点的讨论中已有提及。不仅人生机遇各有不同，生活方式也存在显著差异，涵盖家庭生活、子女抚养、教育、个人价值观、消费、休闲活动、政治观点、宗教信仰和健康等诸多方面。当然，归根结底，社会阶层体系中不同地位的后果会造成巨大的不平等。

The concept of life chances, particularly the fact that they differ according to social class, was noted in the earlier discussion of Weber’s views on social class. Not only do life chances differ but there are marked differences in lifestyles, encompassing such characteristics as family life, child rearing, education, personal values, consumption, leisure activities, political outlook, religion, and health. The bottom line is, of course, that the consequences of different positions in the stratification system make for a great deal of inequality.

社会流动性

Social Mobility

开放社会与封闭社会之间的主要区别之一是，开放社会存在社会流动性，而封闭社会则没有或很少。“社会流动性”指的是个人通过在社会分层体系所代表的阶梯上向上（或向下）移动来改变社会阶层成员、地位、生活机会和生活方式的能力。

One of the principal differences between open and closed societies is that there is social mobility in open societies and none or very little in closed societies. The term social mobility refers to an individual’s ability to change social class membership, status, life chances, and lifestyles by moving up (or down) the ladder represented by the stratification system of a society.

社会科学家还会区分垂直流动（垂直或向下流动）和水平流动（水平流动是指地位发生变化但阶级没有相应变化）。例如，垂直流动的例子可以是高中教师晋升为校长（向上流动），也可以是校长因行政管理不力而被降职回校（向下流动）。如果一位学校负责人在保险公司担任高管，薪水与校长的薪水大致相同，则属于水平流动。通常，为了最大限度地提高垂直流动的机会，一定程度的水平流动是必不可少的。

Social scientists also distinguish between vertical mobility, which occurs in an upward or downward direction, and horizontal mobility, which occurs when there is a change of status without a consequent change of class. For instance, vertical mobility may be exemplified by a high school teacher who is promoted to principal (upward mobility), or the principal who proves ineffective as an administrator and is demoted back into the classroom (downward mobility). A school superintendent who takes a job as an executive of an insurance company at approximately the same salary is horizontally mobile. Usually, a certain amount of horizontal mobility is necessary to maximize chances for vertical mobility.

向上流动者：他们是谁？

The Upwardly Mobile: Who Are They?

垂直流动受多种因素影响，有些取决于性格特征，有些则取决于社会环境。通过对向上流动的研究，我们得出了向上流动个体的特征。这类个体包括：(1) 城市居民；(2) 独生子女或两个孩子中的一人；(3) 受雄心勃勃的父母（尤其是母亲）的影响；(4) 可能比父母接受更多的教育；(5) 结婚较晚且倾向于与地位更高的伴侣结婚；(6) 等待成家立业，并将家庭规模限制在两个孩子以内。

Various factors are responsible for vertical mobility, some dependent on personality traits, others on social circumstances. From studies on upward mobility, a profile of the upwardly mobile individual has emerged. Such an individual is (1) an urban resident; (2) an only child or one of two children; (3) influenced by ambitious parents, particularly a mother; (4) likely to acquire more education than his or her parents; (5) one who marries later and tends to marry a partner of higher status; and (6) one who waits to establish a family and limits its size to no more than two children.

图片 7.2由于大量美国人仍然没有医疗保险或保险费用昂贵，大多数医院的急诊室都人满为患、一片混乱，因为他们必须处理在医疗紧急情况下无处可去的人。

IMAGE 7.2 With a large number of Americans still without health insurance or with very expensive insurance, emergency departments of most hospitals are crowded and chaotic as they must deal with people who have nowhere else to go in a medical emergency.

与父母或上一代人相比，那些向上流动的个体表现出代际流动性。如果他们也比同辈人表现更好，那么他们就表现出代内流动性。

Individuals who are upwardly mobile in comparison to their parents, or to the preceding generation, are displaying intergenerational mobility. If they also do better than their peers of the same generation, they are exhibiting intragenerational mobility.

美国的社会流动性

Social Mobility in the United States

美国长期以来被称为机遇之地，一个流传已久的神话认为，任何人，无论出身如何，都能晋升为国家领袖，或至少拥有财富和声望。人们至少期望获得高薪工作，拥有自己的房子，并能够送孩子上大学。事实上，这就是“美国梦”的含义，也是“白手起家”、“霍雷肖·阿尔杰的故事”等说法的真谛。勤奋、节俭、雄心勃勃和意志力足以确保一个人在社会阶层中不断攀升的理念，自建国之初就已成为美国伦理的一部分。

The United States has long been known as the land of opportunity, and a myth persists that any individual, no matter what his or her origin, can rise to become a leader of the country, or at least someone in possession of wealth and prestige. At the very least, people expect to get well-paying jobs, own their own homes, and be able to send their children to college. This is, in fact, what is meant by the “American Dream” and by such phrases as “from rags to riches” and “a Horatio Alger story.” The notion that hard work, thrift, ambition, and willpower are sufficient to ensure a person’s rise in the stratification system has been part of the American ethic from the very inception of the nation.

这种观点有多少真实性？美国的流动性与其他工业化国家的流动性相比如何？研究人员收集了多个工业化国家的民意调查研究，发现所有工业化民主国家都存在较高的社会流动性，这驳斥了美国社会阶层体系开放性独一无二的观点（Grusky & Hauser，1984，35；Kerckhoff、Campbell & Winfield-Laird，1985；Lipset & Bendix，1959）。所有研究人员都得出以下结论：首先，流动性的出现很大程度上是因为技术社会高度重视效率。即使是上层阶级父母的低效后代，也会被来自社会底层的更有才华的人所取代。其次，流动性工业化本身导致了更多高地位职业的出现，取代了农业体系中以蓝领为主、地位较低的职业。这种流动性被称为结构性流动性。利普塞特和本迪克斯发现，尽管美国的流动性并非异常高，但它确实表现出一种更强烈的流动性，即人们可能因为个人的功绩或不足而地位上升，也可能下降。

How much truth is there in this notion? How does mobility in the United States compare with mobility in other industrial nations? After gathering opinion-poll studies from a number of industrial nations, researchers found a great amount of social mobility in all the industrialized democracies, refuting the idea that the United States is unique in the openness of its stratification system (Grusky & Hauser, 1984, 35; Kerckhoff, Campbell, & Winfield-Laird, 1985; Lipset & Bendix, 1959). All the researchers concluded, first, that much of the mobility occurred because in technological societies a great value is put on efficiency. The inefficient offspring of even upper-class parents are replaced by more talented persons from lower social classes. Second, mobility is caused by industrialization itself, which has resulted in the creation of more high-status occupations to replace the largely blue-collar, lower-status occupations of a more agrarian system. This type of mobility is called structural mobility. Lipset and Bendix found that although the United States did not have an unusual amount of mobility, it did display more of the kind of mobility in which people may rise, but also fall, through individual merit or lack of it.

一些研究衡量了长距离流动，即个体在一代人的时间里从社会分层体系的底层上升到顶层的过程，发现美国人确实拥有较高的此类流动率。20世纪60年代，一项著名的研究表明，很大比例（37%）从事白领工作的男性，其父亲从事蓝领工作，但个人自身的教育水平比父亲的职业更能影响其向上的社会流动。当时，研究人员得出结论，个人职业向上流动的机会很大程度上受到教育程度、第一份工作的性质以及父亲的职业的影响。然而，结构性流动才是影响向上流动的最重要因素（Blau & Duncan，1967，152-161）。后来的研究证实，在美国商业精英中，只有十分之一的高管来自富裕家庭，超过三分之一的人出身卑微（Lipset，1976）。

Studies measuring long-distance mobility, that is, the rise of individuals from the very bottom to the very top of the stratification system in one generation, found that Americans do have a high rate of this kind of mobility. In the 1960s, a well-known study showed that a large percentage (37 percent) of the men in white-collar jobs had fathers with blue-collar jobs, but an individual’s own level of education was more responsible for upward social mobility than was the father’s occupation. At the time, the researchers concluded that an individual’s chances of occupational upward mobility were greatly influenced by the amount of education, the nature of the person’s first job, and the occupation of the father. Structural mobility, however, was the factor most responsible for upward mobility (Blau & Duncan, 1967, 152–161). A later study substantiated that among the American business elite, only one in ten of the top executives came from a wealthy home, and more than one-third had made it from humble origins (Lipset, 1976).

尽管社会职业结构发生了变化，但过去几十年来，社会流动性的总量几乎没有变化。然而，当前全球经济结构的调整最终可能导致不同的结论。尽管仍有大幅提升经济阶梯的可能性，但大多数美国人在一生中，无论是向上还是向下，都无法获得显著的提升。哈佛大学和伯克利大学经济学家最近进行的一项研究得出结论，尽管从七十年代到九十年代，向上流动性并未停滞，但美国的向上流动性本来就不大。对于贫困人口而言，这一点尤其明显。“出生于收入分配底层五分之一的人中，70%从未进入中产阶级，只有不到10%的人进入了顶层五分之一。40%的人成年后仍然贫困。”（Surowiecki，2014，《金融》版）

Despite the changes in the occupational structure of the society, the total amount of social mobility has hardly been altered in the past decades. However, the global restructuring taking place currently may ultimately lead to different conclusions. Even though there are still possibilities of great jumps up the economic ladder, most Americans do not move a great many rungs either up or down in their lifetimes. A more recent study by economists from Harvard and Berkeley concluded that even though upward mobility had not stalled from the seventies to the nineties, there was not much mobility in the United States to begin with. This is especially true when it comes to upward mobility for the poor. “Seventy percent of people born into the bottom quintile of income distribution never make it into the middle class, and fewer than ten percent get into the top quintile. Forty percent are still poor as adults” (Surowiecki, 2014, The Financial page).

收入不平等

Income Inequality

一些社会评论家认为，自20世纪70年代以来，收入差距不断扩大的趋势以及社会流动性停滞不前且不均衡的事实表明，美国的社会阶层分化日益加深。一项研究比较了5000个家庭的个人财务状况（基于自20世纪60年代末以来每年进行的一项调查），结果表明，穷人更有可能继续贫困，而富人则可能继续富裕甚至更加富裕（Bradsher，1995a，4）。较新的研究还表明，收入最高的1%的家庭比收入最低的40%的家庭收入增幅高出50%。此外，收入最高的20%的家庭获得了美国收入的55.7%，接下来的20%获得了19.5%，中间的20%获得了13.2%，而收入最低的20%仅获得了3.9%。另请参阅www.toomuchonline.org/tmweekly.html上的最新数据，以及互联网上大量探讨美国不平等问题的网站。一位诺贝尔经济学奖得主在其著作《不平等的代价：当今分裂社会如何危及我们的未来》（斯蒂格利茨，2013年）中也谈到了日益加剧的不平等现象。

The trend toward widening income inequality and the fact that social mobility has been stagnant and uneven since the 1970s are indications, to some social commentators, that the country is becoming increasingly stratified. Research that compared the personal finances of 5,000 households (based on a survey conducted every year since the late 1960s) has indicated that the poor are more likely to remain poor and the affluent to remain affluent or more so (Bradsher, 1995a, 4). Newer studies also show that the top 1 percent of households had seen an increase of 50 percent more income than the bottom 40 percent. Moreover, the top 20 percent of families received 55.7 percent of U.S. income, the next 20 percent received 19.5 percent, the mid 20 percent received 13.2 percent, and the bottom 20 percent received 3.9 percent. See also the latest figures at www.toomuchonline.org/tmweekly.html, as well as a wealth of Web sites on the Internet that deal with the problem of inequality in the United States. A Nobel Prize economist also speaks of increasing inequality in his book, “The Price of Inequality: How Today’s Divided Society Endangers Our Future” (Stiglitz, 2013).

为了促进社会平等，政府可以通过颁布反歧视法、平权法案、培训项目和其他政府项目进行干预。然而，除了生活机遇的影响之外，个人因素也会影响一个人的流动性：能力、工作习惯、延迟满足，以及最终的纯粹运气。

In trying to increase social equality, the government can intervene by passing antidiscrimination laws, affirmative-action legislation, training programs, and other government programs. Over and above the impact of life chances, however, individual factors also play a part in a person’s mobility: ability, work habits, deferring gratification, and, finally, sheer luck.

全球不平等

Global Inequality

不平等作为人类社会的一个永恒特征，曾被奉为既定事实。尽管世界逐渐接受了一种认为严重不平等不公平的意识形态，却仍未找到消除不平等的途径。相反，不平等似乎不仅存在于社会内部，也尤其存在于社会之间。例如，在全球范围内，所谓的第三世界，居住着全球66亿人口的80%，占地球陆地面积的60%，其面临的贫困远比第一世界人民想象的更为严重和普遍。（虽然这些术语已不再常用，但我们仍将第一世界描述为以市场经济为主的工业化国家；第二世界由正在从普遍的社会主义经济转型的工业化社会组成；第三世界则以农业为主。）在第三世界，大多数人都是穷人，这意味着饥饿、住房不安全和疾病是大多数人的日常经历。饥饿的定义是指热量摄入低于预防严重健康风险和儿童发育迟缓所需的水平。在世界各地，饮食不足、营养不足以及水源不安全是数亿人的命运。与此形成鲜明对比的是，工业化国家和发展中国家的商品和服务消费却在飙升。

The existence of inequality as a constant feature of human societies was once accepted as a given. Although the world has gradually embraced an ideology that finds gross inequities unfair, it has not found a means of eliminating them. On the contrary, it would appear that inequality persists not only within societies but also especially among societies. On a global basis, for instance, the so-called Third World, which houses 80 percent of the world’s 6.6 billion people and accounts for 60 percent of the planet’s land area, faces poverty that is far more severe and more extensive than people in the First World can imagine. (Although these terms are no longer commonly used, we describe the First World as consisting of industrial nations with predominantly market economies; the Second World consists of industrial societies that are undergoing transformations from generally socialist economies; and the Third World consists of societies that are primarily agrarian.) In the Third World, the majority of the people are poor, meaning that hunger, unsafe housing, and disease are everyday experiences for most. The definition of hunger refers to caloric intake below that necessary to prevent serious health risks and stunted growth in children. Around the world, deficient and inadequate diets, as well as unsafe water supplies, are the destiny of hundreds of millions of people. In sharp contrast, consumption of goods and services in industrial and developing nations is soaring.

联合国粮食及农业组织于2009年宣布，全球有超过12亿人处于饥饿状态。这相当于全球六分之一的人口，主要原因是地区战争、全球金融危机以及能源价格和粮食成本上涨。饥饿人口最多的地区——6.42亿营养不良人口——生活在亚太发展中国家；2.65亿生活在撒哈拉以南非洲；5300万人生活在拉丁美洲；4200万人生活在中东和北非；1500万人生活在工业化国家。

The United Nations Food and Agriculture Organization had declared in 2009 that more than 1.2 billion people across the globe were starving. That is one in six human beings, mainly due to regional wars, global financial crises, and rising energy prices and food costs. The largest number of hungry people—642 million malnourished inhabitants—live in developing Asia-Pacific countries; 265 million live in sub-Saharan Africa; 53 million live in Latin America; 42 million in the Middle East and North Africa; and 15 million in industrial countries.

在这种情况下，富裕国家应该承担什么责任？我们国家仍然存在贫困问题，难道我们还要指望其他国家的穷人吗？事实上，美国和其他大多数富裕国家都提供了巨额对外援助。但不知何故，这些援助从未惠及贫困人口，许多社会项目也未能有效减少贫困。预计到2050年，全球人口将达到95亿，其中80亿将生活在贫困国家，因此，找到一种不同的消费模式至关重要。《2013年人类发展报告》建议，贫困国家应采用现代高效的技术，从而避免工业化国家犯下的一些错误。敬请查阅联合国2014年人类发展报告，了解更多相关内容。

Given this scenario, what is the responsibility of the wealthy nations? We still have problems of poverty in our own country, so should we be expected to help the poor in other countries? As a matter of fact, the United States and most other wealthy nations donate large amounts in foreign aid. But somehow, the foreign aid never reaches the needy, and many social programs fail to make a dent in poverty. Because 8 billion of the world’s projected 9.5 billion people will be living in poor countries by 2050, it is imperative that a different pattern of consumption be found. The Human Development Report 2013 suggests that poor countries adopt modern, efficient technologies, thus leapfrogging some of the mistakes that industrial nations have made. Check out the United Nations Human Development Report 2014 on the Internet for interesting details.

分层是所有产生盈余的社会中都存在的现象。它是指社会成员根据其拥有的可支配商品数量以及享有的声望和权力，将自身和他人划分为等级（从低到高）的过程。

Stratification is a phenomenon present in all societies that have produced a surplus. It is the process by which members of a society rank themselves and one another in hierarchies (from low to high) with respect to the amount of desirable goods they possess and the prestige and power they enjoy.

所有的排名体系都基于人与人之间的差异。年龄和性别差异存在于所有人类群体中，但在更复杂的社会中，人们被划分为不同的类别，并根据其生物学特征和社会特征进行排名。

All systems of ranking are based on differences among people. Differences based on age and gender are present in all human groups, but in more complex societies, people are differentiated as a category and ranked on the basis of not only biological but also social characteristics.

排名导致了不平等的存在。不平等现象已被多种理论解释：功能主义者认为，不平等有利于社会，因为完成某些任务的奖励高于完成其他任务的奖励。确保艰巨任务得以完成。冲突理论家认为，不平等是社会各群体争夺权力冲突的结果。斗争中的胜利者将其价值观强加于社会其他群体。两种理论的综合表明，尽管不平等不可避免，但随着社会生产力的提高，不平等往往会减少。然而，需要政府干预来打破某些群体相对于其他群体的优势。

Ranking has led to the existence of inequality. Inequality has been explained by a number of theories: functionalists maintain that inequality works to the advantage of societies because rewarding the performance of some tasks higher than others ensures that difficult tasks get done. Conflict theorists assert that inequality is the result of conflict among groups in society that struggle for power. The victors in the struggle impose their values on the rest of society. A synthesis of the two theories states that although inequality is inevitable, it tends to lessen as a society becomes more productive. However, government intervention is needed to break the advantage of some groups over others.

所有分层体系都体现出分化、等级和制度化。分层体系最重要的维度是阶级、地位和权力。社会阶级是社会中在权力、特权或声望方面处于相似地位的人群的集合。地位是指个人相对于社会体系中其他个人的等级位置。权力是指一个人或一个群体控制其他人或群体行为的能力，无论是否经过后者的同意。

All stratification systems exhibit differentiation, ranking, and institutionalization. The most important dimensions of stratification systems are class, status, and power. A social class is an aggregation of persons in a society who stand in a similar position with respect to power, privilege, or prestige. Status is a ranked position of an individual in relation to other individuals in the social system. Power is the ability of one person or group to control the actions of other persons or groups, with or without the consent of the latter.

阶层体系可以用一个理想的连续统一体来衡量。一方面，封闭的等级制度（或称种姓制度）体现了制度化且僵化的社会不平等。在中间，等级制度则不那么僵化，允许一定的流动性。另一方面，开放的体系是现代工业社会的典型特征，它由多个社会阶层组成，允许社会流动，尽管流动程度并非人人平等。流动性受到人生机遇（即成为一个完整的人并获得社会满足感的机会）的限制，而人生机遇因社会阶层而异。

Stratification systems may be measured on an ideal continuum. On one end, the closed, or caste, system displays social inequalities that are institutionalized and rigid. In the middle, the estate system is less rigid, allowing some mobility. At the other end, the open system, typical of modern industrial societies, consists of a number of social classes and allows social mobility, although not to the same extent for all. Mobility is restricted by life chances—the opportunity to become a complete human being and reap the satisfactions of society—which differ according to social class.

在工业社会中，向上流动的条件包括：居住在城市、家庭规模小、父母雄心勃勃、接受过高等教育、晚婚（最好与来自更高社会阶层的伴侣结婚）以及生育不超过两个孩子。在美国，大部分的流动性是结构性流动性；也就是说，它是由提升工作水平的工业和技术变革所引发的。此外，横向（跨越工作连续体）的流动性大于纵向（沿着工作连续体向上或向下）的流动性，尽管天赋、教育、工作习惯和运气有时也能带来惊人的向上流动。

Upward mobility in industrial societies is aided by urban residence, by coming from a small family, by having ambitious parents, by higher education, by late marriage, preferably to a mate from a higher social class, and by having no more than two children. Much of the mobility in the United States is structural mobility; that is, it is caused by industrial and technological change that upgrades jobs. Otherwise, there is more horizontal (across the job continuum) than vertical (up or down the job continuum) mobility, although talent, education, work habits, and luck sometimes lead to spectacular upward mobility.

贫困是不平等的一个悲剧性副作用。在富裕社会，贫困被理解为相对匮乏，即拥有的比同龄人少。妇女、儿童、少数族裔和一些老年人的贫困比例往往高于其他人口群体。近年来，美国的贫富差距不断扩大，引发了人们对社会阶层分化可能更加僵化的担忧。

Poverty is a tragic side effect of inequality. In the affluent societies, poverty is understood in terms of relative deprivation, of having less than one’s peers. Women, children, minorities, and some elderly tend to be poor in greater proportions than other segments of the population. In recent years, the gap between the rich and the poor has widened in the United States, causing fears that stratification may become more rigid.

在全球范围内，第一世界国家与大多数人口挨饿的第三世界国家之间的不平等现象也越来越难以忽视。由于这些国家人口众多且政治不稳定，它们可能对世界其他地区构成威胁。

Globally, too, the inequality between the First World and Third World nations, where most people go hungry, is becoming difficult to ignore. As these societies are also populous and politically unstable, they may present a danger to the rest of the world.

权威： 经他人同意而行使的社会权力。父母、教师和政府代表着不同级别的权威。

authority Social power exercised with the consent of others. Parents, teachers, and the government represent different levels of authority.

封闭的或种姓的分层制度 一种将阶级、地位和权力固定下来的制度，流动性受到严格限制，社会制度僵化。

closed, or caste, stratification system A system in which class, status, and power are ascribed, mobility is highly restricted, and the social system is rigid.

冲突分层理论： 一种分层理论，认为社会的自然条件是不断变化的，冲突源于阶级斗争。不平等是这种冲突的产物，因为一个群体战胜了其他群体，并向社会其他群体宣示自己的权威。

conflict theory of stratification A theory of stratification according to which the natural conditions of society are constant change and conflict resulting from class struggles. Inequality is the product of such conflict, as one group is victorious over others and asserts itself over the rest of society.

等级制： 欧洲封建社会盛行的等级制度，由三个对社会具有重要功能的等级组成。等级制度按等级排列，允许有限的社会流动。

estate system of stratification The prevailing system of feudal Europe, consisting of three estates of functional importance to the society. The estates were hierarchically arranged and permitted a limited amount of social mobility.

功能主义分层理论： 一种认为社会不平等不可避免的理论，因为社会必须通过奖励来确保基本任务的完成。社会的自然状态被认为是秩序和稳定（均衡）。

functionalist theory of stratification A theory in which social inequality is viewed as inevitable because society must use rewards to ensure that essential tasks are performed. The natural conditions of society are thought to be order and stability (equilibrium).

人生机会 每个人充分发挥自身潜能的机会。人生机会因社会阶层而异。

life chances The opportunity of each individual to fulfill his or her potential as a human being. Life chances differ according to social class.

开放社会或阶级社会。 指社会阶层结构允许社会流动，个人地位由后天获得而非出身决定的社会。开放体系是工业社会的特征。

open, or class, society A society in which the stratification system allows for social mobility and in which a person’s status is achieved rather than being ascribed on the basis of birth. Open systems are characteristic of industrial societies.

权力阶层分化的一个维度，包括一个人或一个群体在他人同意或不同意的情况下控制他人行为的能力。

power A dimension of stratification consisting of the ability of one person or group to control the actions of others with or without the latter’s consent.

社会阶层 阶层的一个维度，由社会中在某种权力、特权或威望方面处于相似地位的人的集合体组成。

social class A dimension of stratification consisting of an aggregate of persons in a society who stand in a similar position with regard to some form of power, privilege, or prestige.

社会流动性： 个人通过在阶层体系中向上（或向下）流动来改变其社会阶层成员的能力。向上或向下的流动性是垂直的，而导致地位改变但不导致阶级变动的流动性是水平的。

social mobility An individual’s ability to change his or her social class membership by moving up (or down) the stratification system. Upward or downward mobility is vertical, whereas mobility that results in a change of status without a consequent change of class is horizontal.

社会地位 阶层的一个维度，由个人在社会体系中的等级位置组成，等级主要由个人的职业角色决定。

social status A dimension of stratification consisting of an individual’s ranked position within the social system, the rank being determined mainly by the individual’s occupational role.

社会分层（排名） 除最简单社会外，所有社会中都存在一种过程，即社会成员根据其拥有的欲望（财富、声望、权力）的数量，对彼此和自己进行等级排名。

social stratification (ranking) A process existing in all but the simplest societies whereby members rank one another and themselves hierarchically with respect to the amount of desirables (wealth, prestige, power) they possess.

阶层体系： 社会成员根据阶级、地位群体和权力等级划分的重叠方式。分析方式为从封闭到开放的连续统一体。

stratification system The overlapping manner in which members of society are ranked according to classes, status groups, and hierarchies of power. Analyzed on a continuum from closed to open.

结构性流动性 由工业和技术变革引起的向上流动性，推动技术工人进入更高地位的职业。

structural mobility Upward mobility caused by industrial and technological change that pushes skilled workers into higher-status occupations.

Blau, Peter M. 和 Otis Dudley Duncan。1967。《美国职业结构》。纽约：Wiley。

Blau, Peter M., and Otis Dudley Duncan. 1967. The American Occupational Structure. New York: Wiley.

Bradsher, Keith. 1995a. “美国的机会差距。” 《纽约时报》，6月4日，第4版，第4页。

Bradsher, Keith. 1995a. “America’s Opportunity Gap.” The New York Times, June 4, Section 4, p. 4.

Bradsher, Keith。1995b。“美国贫困儿童排名低。” 《纽约时报》，8月14日，A7页。

Bradsher, Keith. 1995b. “Low Ranking for Poor American Children.” The New York Times, August 14, p. A7.

科恩，沃纳。1958年。“美国犹太人的政治”。载于马歇尔·斯克莱尔编，《犹太人：一个美国群体的社会模式》。伊利诺伊州格伦科：自由出版社。

Cohn, Werner. 1958. “The Politics of American Jews.” In Marshall Sklare, ed., The Jews: Social Patterns of an American Group. Glencoe, IL: Free Press.

戴维斯、金斯利和威尔伯特·摩尔。1945年。“分层的一些原则。” 《美国社会学评论》 10：242-249。

Davis, Kingsley, and Wilbert Moore. 1945. “Some Principles of Stratification.” American Sociological Review 10: 242–249.

Gerth HH，C. Wright Mills编。1946年。摘自马克斯·韦伯：社会学论文集。纽约：牛津大学。

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Grusky, David B., and Robert M. Hauser. 1984. “Comparative Social Mobility Revisited: Models of Convergence and Divergence in 16 Countries.” American Sociological Review 49: 19–38.

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Kerckhoff, Alan C., Richard T. Campbell, and Idee Winfield-Laird. 1985. “Social Mobility in Great Britain and the United States.” American Journal of Sociology 91: 281–308.

Kishiyama, Mark M. 等人，2009 年。“社会经济差异影响儿童前额叶功能。” 《认知神经科学杂志》 1(6): 1106–1115。

Kishiyama, Mark M., et al. 2009. “Socioeconomic Disparities Affect Prefrontal Function in Children.” Journal of Cognitive Neuroscience 1(6): 1106–1115.

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Lenski, Gerhard. 1966. Power and Privilege: A Theory of Social Stratification. New York: McGraw-Hill, 74–75.

Lipset, Seymour Martin。1976年。“平等与不平等。”载于Robert K. Merton和Robert Nisbet编。《当代社会问题》，第4版。纽约：Harcourt Brace Jovanovich出版社。

Lipset, Seymour Martin. 1976. “Equality and Inequality.” In Robert K. Merton Robert Nisbet, eds. Contemporary Social Problems, 4th ed. New York: Harcourt Brace Jovanovich.

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Lipset, Seymour Martin, and Reinhard Bendix. 1959. Social Mobility in Industrial Society. Berkeley: University of California Press.

Lowrey, Annie。2014 年。“经济复苏创造的低薪工作远多于高薪工作。” 《纽约时报》，4 月 27 日，F2。

Lowrey, Annie. 2014. “Recovery Has Created Far More Low-Wage Jobs Than Better-Paid Ones.” The New York Times, April 27, F2.

Marx, Gary T. 1967。《抗议与偏见》。纽约： Harper & Row。

Marx, Gary T. 1967. Protest and Prejudice. New York: Harper & Row.

Sengupta, Somini。2001 年。“多少贫困儿童才算太多？” 《纽约时报》，7 月 8 日，第 WK3 页。

Sengupta, Somini. 2001. “How Many Poor Children Is Too Many?” The New York Times, July 8, p. WK3.

斯蒂格利茨，约瑟夫·E.，2013年。“不平等正在侵蚀我们对制度和生活方式的信心。” 《纽约时报》，12月16日。

Stiglitz, Joseph E. 2013. “Inequality Is Eroding Our Faith in Institutions and Our Way of Life.” The New York Times, December 16.

Surowiecki, James. 2014. “出行神话”。《纽约客》，3月3日，财经版。

Surowiecki, James. 2014. “The Mobility Myth.” The New Yorker, March 3, The Financial Page.

萨沙·艾布拉姆斯基，2013年。《美国式贫困：另一半人依然如何生活》。纽约：国家图书出版社。本书研究透彻，深入探讨了日益庞大的美国人口中生活在富裕社会边缘的群体。本书既深刻又富有同情心。

Abramsky, Sasha. 2013. The American Way of Poverty: How the Other Half Still Lives. New York: Nation Books. A well-researched and thorough look at the increasingly large segment of the American population who live a life on the margins of our wealthy society. It is both incisive and compassionate.

威尔逊，威廉·朱利叶斯。1997。《当工作消失：新城市贫困人口的世界》。纽约：克诺夫出版社。这位社会学家进一步阐述了他对内城非技术性工作消失后所带来的不幸后果的看法：中产阶级的流失、内城商业的衰落，以及失业工人阶级的困境。

Wilson, William Julius. 1997. When Work Disappears: The World of the New Urban Poor. New York: Knopf. This sociologist expands his views on the unfortunate consequences following the disappearance of unskilled jobs in inner cities: the flight of the middle class, the decline of inner-city businesses, and the plight of a working class left without work.

http://www.msnbc.com/msnbc/the-state-inequality-america。前劳工部长罗伯特·赖克 (Robert Reich) 的一篇文章。

http://www.msnbc.com/msnbc/the-state-inequality-america. An article by Robert Reich, former Secretary of Labor.

http://equitablegrowth.org/exploding-wealth-inequality-united-states/。著名学者撰写的一篇优秀文章。

http://equitablegrowth.org/exploding-wealth-inequality-united-states/. An excellent article by well-known scholars.

www.scalar.usc.edu/works/growing-apart-a-political-history-of-american-inequality/index。这是对《日益分化：美国不平等的政治史》作者科林·戈登作品的介绍。图表和统计数据很棒。

www.scalar.usc.edu/works/growing-apart-a-political-history-of-american-inequality/index. An introduction to the work of Colin Gordon, author of “Growing Apart: A Political History of American Inequality.” Great graphs and statistics.

Minority Status: Race and Ethnicity

少数族裔地位：种族和民族

在本章中，你将学习

IN THIS CHAPTER, YOU WILL LEARN

• 基于种族和民族的少数民族定义；

• the definitions of minority based on race and ethnicity;

• 多数派如何对待其内部的少数派；

• how the majority has dealt with minorities in its midst;

• 偏见和歧视的原因和影响；

• the causes and effects of prejudice and discrimination;

• 美国主要少数民族的一些特征；以及

• some characteristics of the principal minorities in the United States; and

• 美国未来很可能成为一个不同的、种族混合的多元文化社会。

• that the United States is likely to become a different, racially mixed, multicultural society in the future.

哈人类在这个星球上生活了数千年，其他形态则有数百万年，发展出了复杂且科技先进的文明，但在某些方面，他们仍然非常不文明。或许他们仍然遵循着一种生物本能，这使得他们对陌生人心存疑虑，对不属于自己群体的人怀有敌意。无论原因如何，即使在21世纪，深刻的仇恨依然将我们分裂开来，这一点毋庸置疑。

Humans have lived on this planet for thousands, and in other forms, millions, of years and have developed sophisticated and technologically advanced civilizations, but in some respects they have remained very uncivilized. Perhaps they are still following a biological imperative, which makes them suspicious of strangers and inimical to others who are not part of their group. Whatever the reasons, it is clear that even in the twenty-1first century, deep hatreds still divide us.

我们说我们生活在一个互联互通的地球村。事实上，各国政府在政治和经济领域确实存在互动：我们是盟友，也是贸易伙伴，而如今通讯的迅捷让我们能够即时与地球的遥远角落保持联系。这种互动也促进了文化的传播，使每个社会都能了解其他社会的文化，甚至是产品。

We speak of being interconnected in a global village. In fact, governments do interact with one another in terms of politics and economics: we are allies and trading partners, and the rapidity of communication possible today allows us to keep in touch with the far corners of the planet instantly. This interaction is also responsible for cultural diffusion, a process that has allowed every society to become acquainted with the products, if not the culture, of every other society.

互动并非新鲜事：数千年来，杂交一直大规模发生，以至于世界上任何地方都不存在“纯种”血统（除了可能存在于偏远地区的小群体）。然而，总体而言，人们似乎更倾向于强调差异而非相似之处。结果，人类历史的大部分内容主要是斗争与冲突、征服与压迫，甚至是种族灭绝的记录，一个群体与另一个群体互相对抗。

Interaction is not really such a new phenomenon: For thousands of years interbreeding has occurred on a large scale, so that no “pure” stock exists anywhere in the world (with the possible exception of small groups that may exist in inaccessible locations). On the whole, however, it seems that people have chosen to stress their differences rather than their similarities. As a result, much of human history has been primarily a record of struggles and conflicts, of conquests and oppression, even of genocide, with one group of people pitted against another.

图片 8.1困扰现任立法者的移民问题并不是什么新鲜事：我们的国家由来自世界各地的移民组成，他们都希望改善生活。

IMAGE 8.1 The immigration issue that bedevils current legislators is not new: our country is made up of immigrants from many parts of the world, looking to better their lives.

根据特定变量来区分人群是一种普遍的文化特征。在所有社会中，男性与女性、儿童与成年人、老年人与年轻人的待遇都有所不同。我们在上一章中也看到，穷人与富人、权贵与弱势群体的待遇也有所不同。众所周知，不同肤色的人也会受到不同的待遇。随着民族国家的兴起，分化的另一个原因也随之而来：文化或宗教信仰不同的人群突然被迫效忠于同一个国家，并共同生活。由于移民、殖民或征服，大多数国家变成了多元社会，由一个多数群体和一些因文化、外貌或宗教信仰而与其不同的群体（即所谓的少数群体）组成。多数群体和少数群体偶尔会和平共处。但更常见的情况是，共存会因冲突而受损。举个例子，北爱尔兰、中东、南非、卢旺达、达尔富尔、南苏丹，或者前南斯拉夫的巴尔干国家，美国也存在着共存问题，只不过程度较轻。

Differentiating people according to specific variables is a universal cultural trait. In all societies, men are treated differently from women, children differently from adults, and the elderly differently from the young. We have also seen in the preceding chapter that the poor are treated differently from the rich, the powerful differently from the powerless. As we all know, people of one skin color are also treated differently from people of another skin colour. With the rise of the nation–state, another reason for differentiation came into being: groups of people who differ in culture or religion are suddenly forced to owe allegiance to the same state and to live side by side. As a result of immigration, colonization, or conquest, most nations have become plural societies consisting of a majority group and groups that differ from it because of culture, appearance, or religion—the so-called minorities. Occasionally, majority and minorities coexist in peace. More often, coexistence is marred by conflict. As examples, one need only mention Northern Ireland, the Middle East, South Africa, Rwanda, Darfur, South Sudan, or the Balkan countries of the former Yugoslavia. To a lesser extent, the United States also has problems of coexistence.

多数族群与少数族群关系：定义

Majority–Minorities Relations: Defining the Terms

当两个或多个群体共享同一领土，但其中一个群体的权力大于其他群体时，该群体被视为多数群体，而其他群体则被称为少数群体。换句话说，“多数”和“少数群体”这两个词并不意味着任何数值；多数群体的人数不一定大于任何少数群体。相反，尽管在美国并非如此，但在许多情况下，一个或多个少数群体的人数超过占主导地位的多数群体（种族隔离制度结束前的南非就是一个明显的例子）。

When two or more groups share the same territory but one of them has more power than the others, that group is considered the majority, and the other groups are termed minorities. In other words, the terms majority and minorities do not imply any numerical value; a majority is not necessarily larger in number than any of the minority groups. On the contrary, although this is not true in the United States, in many instances one or more minorities are superior in number to the dominant majority (South Africa was a glaring example before the end of apartheid).

现代意义上的少数群体起源于民族国家的发展。“统治权的扩张不仅影响了曾经独立的群体，也影响了人们共同的愿望。”“试图创建一个同质的国家（导致试图压制文化差异）造成了少数族裔与多数族裔的局面”（Simpson & Yinger，1972，16）。自人类历史伊始，数千年来，人们一直生活在部落中，部落是由几个家庭组成的小群体。部落主义深深植根于人类心灵，即使在今天，人们仍然以“部落”的视角看待世界，期望自己所属的社会由他们自己的体型和文化类型组成（Wagley & Harris，1958，241-242）。

Minorities in the modern sense originated with the development of the nation–state. “Both the spread of dominance over formerly separate groups and the common desire to create a homogeneous nation (leading to attempts to repress cultural variation) have created the minority–majority situation” (Simpson & Yinger, 1972, 16). From the dawn of history and through many thousands of years, people lived in tribes, small groups consisting of several families. Tribalism is deeply embedded in the human psyche, and even today people view the world from a “tribal” perspective, expecting the society to which they belong to consist of their own physical and cultural type (Wagley & Harris, 1958, 241–242).

由于少数群体地位与人数无关，它指的是“无法完全获得与社会平等的权力职位以及随之而来的社会声望和特权”的群体（Yetman & Steele，1971，4）。少数群体地位并非授予个人，而是授予那些缺乏多数群体所拥有的那种权力的群体，而多数群体正是基于种族、民族和宗教（以及在不同程度上基于性别、性取向、年龄和残疾）所赋予的社会地位而拥有的。

Because it does not depend on numbers, minority status refers to that category of people who “possess imperfect access to positions of equal power and to the corollary categories of prestige and privilege in the society” (Yetman & Steele, 1971, 4). Minority status is conferred not on individuals but on whole categories of people who lack the kind of power that the majority group holds in a society on the basis of the ascribed statuses of race, ethnicity, and religion (and, to a different extent, on those of gender and sexual orientation, age, and disability).

相比之下，多数群体，或称主导群体，尽管人数可能较少，却控制着社会生活的重要领域，影响着社会文化，例如语言、意识形态，甚至审美和价值观的标准。顾名思义，多数群体掌控着财富、声望和权力的获取。少数群体与多数群体在外貌和习俗上的差异越大，技能和才能越少，受教育程度越低，获取这些资源就越困难。不同少数群体在阶层体系中的流动性也因此存在差异。

By contrast, the majority, or dominant group, although it may be numerically smaller, controls the important sectors of social life, influencing the culture of the society in such vital areas as language, ideology, and even standards of beauty and worth. By definition, the majority controls access to positions of wealth, prestige, and power. Minorities find access more difficult the more they differ in looks and customs from the majority, the fewer skills, talents, and the less education they have at their disposal. Mobility within the stratification system has varied accordingly for the different minorities.

少数族裔的共同特征

Common Characteristics of Minorities

被认为属于少数群体的人有一些共同特征。首先，他们凭借明显的先天特征（例如外貌、语言、口音或姓氏）而易于识别。其次，由于他们拥有这些特征，他们受到区别对待。第三，他们的自我形象和身份认同以少数群体成员身份为中心。最后，他们意识到自己与群体中的其他人拥有共同的身份认同 (Wagley & Harris, 1958, 10)。

People who are considered to belong to a minority group share some common features. First, they are recognizable by virtue of possessing visible ascribed traits: appearance, language, accent, or last name. Second, because they possess these traits, they are subject to differential treatment. Third, their self-image and identity are centered in their minority-group membership. And finally, they are aware that they share a common identity with others in the group (Wagley & Harris, 1958, 10).

少数群体身份最常见的认定依据是其族裔、宗教或种族（如前所述，还有其他原因，但这三个是最常见且最基本的原因）。族裔是指一个群体在社会和文化层面上的独特性，这种独特性因国家背景而异。大多数与他人拥有共同语言、文化、传统、历史和血统，并得到社会其他成员认可的移民都是少数群体。在那些已在美国生活了几代的人中，有些人保留了原籍国的语言、习俗，有时甚至是姓氏，有些人则放弃了。然而，只要他们中的大多数人与来自相同背景的人感到团结一致，他们就会被视为某个族裔群体的成员。

Minority status is most commonly assigned to a group because of that group’s ethnic origin, religion, or race (as noted earlier, there are additional reasons, but these three are the most frequent and basic). Ethnicity refers to a group’s distinctiveness on social and cultural grounds that differ from those of the majority because of national background. Most immigrants who share with others a common language, culture, traditions, history, and ancestry, and are recognized as such by the rest of society, are ethnic minorities. Among those who have been in the United States for several generations, some retain and some have given up the language, customs, and sometimes even the surnames of their country of origin. However, as long as a majority of them feel bonds of solidarity with others who came from the same background, they are considered to be members of an ethnic group.

宗教是一套与神圣事物相关的信仰和仪式。信奉同一宗教的人分享他们的信仰和仪式，并从其宗教信仰中获得认同感。在美国，天主教徒和犹太教徒的宗教信仰与最初定居者群体新教徒（最终成为多数群体）不同，过去曾遭受过差别对待。基于宗教的少数群体地位在过去半个世纪中的重要性有所减弱。

Religion is a set of beliefs and rituals dealing with the sacred. People of the same religion share their beliefs and rituals and derive a sense of identity from their religious membership. In the United States, Catholics and Jews, differing in religion from the Protestants who made up the original group of settlers and who eventually became the majority, have been subject to differential treatment in the past. Minority status based on religion has lessened in importance in the past half-century.

最难定义的因素是种族。“种族”是科学家过去用来描述人类物种间生物学差异的一个概念。当代学者希望彻底废除这个术语，因为它并没有描述一个科学事实。美国人类学协会发表声明称，尽管“种族”一词最初用于根据外貌的明显差异将人们划分为不同的种族，但本世纪知识的扩展已清楚地表明，“人类群体并非界限分明、生物学上截然不同的群体。[DNA证据]表明，大多数体质变异（约94%）存在于所谓的种族群体中”（《关于“种族”的声明》，美国人类学协会，1996年，第569-570页）。由于邻近群体基因重叠，如今已不存在任何“纯粹”的人类群体。“遗传物质的持续共享使全人类得以维持为一个物种。” 因此，将人们划分为种族是人为的，并不对应人类之间清晰明确的区分。种族划分也与国家、宗教、语言、文化和地理界限无关，尽管过去的隔离可能是造成不同基因库存在的原因。人群的任何社会特征或行为都与遗传的种族特征无关。最后，没有科学证据支持性格、气质、性格或智力的差异源于种族的观点。人类学协会总结道：

The most difficult factor to define is race. Race was a concept scientists used in the past to describe biological differences occurring in the human species. Contemporary scholars would like to do away with this term altogether because it does not describe a scientific reality. The American Anthropological Association has issued a statement that although the term race was used to classify people into categories called races according to visible differences in appearance, the expansion of knowledge in this century has clearly shown that “human populations are not unambiguous, clearly demarcated, biologically distinct groups. [DNA evidence] indicates that most physical variation, about 94%, lies within so-called racial groups” (Statement on “Race,” American Anthropological Association, 1996, 569–570). There are no “pure” human groupings left anywhere because of the overlapping of genes in neighboring populations. “The continued sharing of genetic materials has maintained all of humankind as a single species.” Therefore, the classification of people into races is artificial and does not correspond to clear and definite distinctions among humans. Neither does it correspond to national, religious, linguistic, cultural, and geographic boundaries, although isolation in the past may have been responsible for the existence of different gene pools. No social traits or behaviors of population groups have any connection with inherited racial traits. Finally, there is no scientific support for the idea that differences in personality, temperament, character, or intelligence are based on race. The Anthropological Association concludes:

根据我们对正常人在任何文化中取得成就和发挥作用的能力的了解，我们得出结论，当今所谓的“种族”群体之间的不平等不是其生物遗传的结果，而是历史和当代社会、经济、教育和政治环境的产物。

Given what we know about the capacity of normal humans to achieve and function within any culture, we conclude that present-day inequalities between so-called ‘racial’ groups are not consequences of their biological inheritance but products of historical and contemporary social, economic, educational, and political circumstances.

（请参阅互联网上的完整声明：

AAA 关于“种族”的声明，1998 年 5 月 17 日，网址：www.aaanet.org）

(see the complete statement on the Internet:

AAA Statement on “Race,” May 17, 1998 at www.aaanet.org)

多元社会的形成

The Making of Pluralist Society

像美国这样的国家面临的根本问题之一，是如何将那些为了寻求更美好未来而定期来到美国的不同群体，构建成一个正常运转的社会单元，一个社会。事实上，某种解决方案已经实现，因为大多数美国人确实拥有足够多的共同价值观和规范来维持社会稳定。但这一过程是反复试验的结果，其结果并不完美。

One of the fundamental problems facing nations such as the United States has been how to make a functioning social unit, a society, out of the many disparate groups that have periodically come to its shores in search of a better future. A solution of sorts has, in fact, been achieved, for a majority of Americans do share sufficient common values and norms to maintain social stability. But the process has taken place by trial and error, and the results remain imperfect.

关于少数民族待遇的意识形态

Ideologies Regarding the Treatment of Minorities

在美国历史的不同时期，关于如何对待少数族裔存在着不同的意识形态。

At different times in American history, different ideologies have prevailed regarding how minorities ought to be treated.

盎格鲁-从众。其中第一个，盎格鲁-从众，代表着试图将WASP（白人盎格鲁-撒克逊新教徒）的价值观强加于所有移民。因此，他们期望所有新移民都能学习和吸收美国的语言、制度和文化模式（而这些模式又以英国为范本）。

Anglo-Conformity. The first of these, Anglo-conformity, represented an attempt to superimpose WASP (White Anglo-Saxon Protestant) values on all immigrants. Thus, it was expected that the language, institutions, and cultural patterns of the United States (which in turn were based on an English model) would be learned and absorbed by all newcomers.

大熔炉理论。十九世纪，人们普遍认为移民可以为社会做出重要贡献。因此，人们认为美国可以在生物学和文化上融合各种族群（大熔炉理论），最终孕育出一位“新美国人”。

The Melting Pot. During the nineteenth century, the idea took hold that immigrants could make important contributions to the society. As a result, it was thought that the United States could mix, both biologically and culturally, all the various stocks within it (the melting pot theory), and ultimately give origin to an individual who would be the “New American.”

尽管教育体系和大众媒体已经成功地将第二代和第三代移民塑造成接受大多数价值观的美国人和社会机构（事实上，他们往往是最热心的爱国者）之外，少数族裔在其他方面仍能抵御种族融合。即使对于第二代和第三代移民来说，他们的种族背景不再是身份认同的焦点，他们的宗教信仰仍然是。社会学家发现，婚姻遵循宗教界限：英国、德国和斯堪的纳维亚新教徒通婚，形成了一个新教徒群体；爱尔兰、意大利和波兰天主教徒通婚，形成了一个天主教群体；犹太人与其他犹太人结婚，无论国籍如何，形成了一个犹太群体（Kennedy，1944 年；Archdeacon，1983 年）。尽管当时存在种族融合，但美国正在成为一个三重大熔炉。这种认识为多元主义意识形态铺平了道路。至于少数族裔，他们几乎没有“融合”。

Although the educational system and the mass media have succeeded in molding second- and third-generation immigrants into Americans who accept most of the values and institutions of the society (they tend to be, in fact, some of the most ardent patriots), in other ways ethnic minorities have remained resistant to melting. Even when their ethnic background was no longer a focus of identity for second- and third-generation immigrants, their religion was. Sociologists found that marriage followed religious lines: British, German, and Scandinavian Protestants intermarried, creating a Protestant pool; Irish, Italian, and Polish Catholics intermarried, creating a Catholic pool; and Jews married other Jews of whatever national origin, creating a Jewish pool (Kennedy, 1944; Archdeacon, 1983). Although there was a melting down of ethnicity, then, the United States was becoming a triple melting pot. This realization paved the way for the ideology of pluralism. As for the racial minorities, they hardly “melted down” at all.

文化多元主义。文化多元主义的意识形态是当今最广为接受的，它强调每个族群都应保留其文化特色，但又不应脱离更广泛的美国文化。换句话说，理想情况下，每个人的首要承诺是为美国谋福利，但除此之外，在饮食、家庭、宗教仪式、社区交往等方面，如果个人愿意，也可以保留其族群纽带。人们认为，通过这种方式，人们可以为社会做出更多贡献，就像一道菜的味道远胜于构成它的各种不同食材。

Cultural Pluralism. The ideology of cultural pluralism, the most widely accepted today, stresses the desirability of each ethnic group’s retention of its cultural distinctiveness, but still within the boundaries of the wider American culture. In other words, the first commitment of every person is, ideally, to the good of the United States, but beyond that, in matters such as food, family, religious rituals, community associations, and so on, individuals retain, if they so desire, their ethnic ties. It is thought that people can, in this manner, contribute much more to the society, somewhat in the fashion of a dish that tastes much better than the variety of separate ingredients that make it up.

20世纪60年代，族裔情感复苏，因为人们意识到，对于某些族裔乃至大多数种族群体而言，在社会上取得成功和向上流动都极其困难。非裔美国人、西班牙裔美国人和美洲原住民积极参与抗议运动，以结束他们所遭受的不平等机遇，并在此过程中重新发现了自己的祖先，并将其作为政治行动的跳板。政治组织的活动似乎激发了许多族裔成员此前所缺乏的团结感。

The decade of the 1960s saw a revival of ethnic feelings as it became apparent that success and upward mobility in the society were extremely difficult for some ethnic and most racial groups to achieve. African Americans, Hispanics, and Native Americans became active in protest movements to end their unequal access to opportunities and, in the process, seemed to rediscover their ancestry and use it as a springboard for political action. Activity in political organizations seems to have generated feelings of solidarity that were lacking before among many ethnic group members.

多元文化主义。当代盛行的意识形态体现在多元文化主义政策中。这项政策最初是一项教育计划，旨在关注美国社会中存在的文化多样性。它还致力于促进所有文化传统的平等。它与文化多元主义的不同之处在于，它致力于兼顾少数族裔的观点，而不是将美国社会定义为主要由欧洲白人后裔构成。多元文化主义坚持颂扬我们的多样性，而非我们作为一个国家的团结，这引发了诸多争议，并未得到普遍接受。

Multiculturalism. The contemporary prevailing ideology is couched in the policy of multiculturalism. This policy began as an educational program that tried to focus attention on the cultural diversity existing in American society. It also made an attempt at promoting the equality of all cultural traditions. It differs from cultural pluralism in that it makes a concerted effort to take into consideration the point of view of minorities, rather than defining the society as primarily a descendant of white Europeans. Its insistence on celebrating our diversity, rather than our unity as a nation, has caused much controversy and is not universally accepted.

多数与少数：共存的过程

Majority and Minorities: Processes of Coexistence

显然，文化多元主义和多元文化主义并非每个社会或每个历史时期的目标。占主导地位的多数群体以多种方式对待其内部的少数群体，少数群体对其处境的反应也各不相同。一些社会试图处理其少数群体问题的进程涵盖了以下几个连续体。

Obviously, cultural pluralism and multiculturalism have not been goals in every society or in every historical era. Dominant majorities have treated the minorities in their midst in a number of ways, and minorities have reacted variously to their condition. Some of the processes with which societies have attempted to deal with their minorities span the following continuum.

种族隔离是试图将少数群体与多数群体隔离开来。1994年之前的南非就是种族隔离的一个例子。在那个社会，占主导地位的群体将人数上占优势的少数群体置于劣势地位，限制他们的迁徙自由，并将他们隔离在乡村保留地或城市聚居区。在最高法院做出一系列裁决，将公共设施中的种族隔离定为非法之前，种族隔离在美国，尤其是在南部地区也十分猖獗。

Segregation is an attempt to isolate a minority from the majority. South Africa, until 1994, offered one example of segregation. In that society, the dominant group had forced minorities that were numerically superior into a condition of inferiority, restricting their freedom of movement and isolating them either on rural reservations or in urban enclaves. Segregation was also rampant in the United States, particularly in the South, prior to a number of Supreme Court decisions that made the segregation of public facilities illegal.

顺应是指少数群体意识到多数群体的规范和价值观，接受并适应这些规范和价值观，但选择保留其自身的族群规范和价值观。因此，他们无法完全融入东道国的文化，而是在文化上，有时甚至在语言上，保持着独特的个性。迈阿密的古巴社区以及一些穆斯林社区就是选择顺应的少数群体的典型例子。

Accommodation is a situation in which a minority is conscious of the norms and values of the majority, accepts and adapts to them, but chooses to retain its own ethnic norms and values. Thus, it does not fully participate in the host culture but remains culturally, and sometimes linguistically, distinct. The Cuban community in Miami, as well as some Muslim communities, are good examples of minorities that have chosen accommodation.

文化适应，或称文化同化，是指少数群体接受并融入其所在文化的规范和价值观，通常会放弃母语和传统。即便如此，这些群体仍然常常被拒绝平等对待。

Acculturation, or cultural assimilation, occurs when a minority group accepts and makes its own the norms and values of the host culture, often giving up a native language and traditions. Despite this, such groups are often still refused consideration as equals.

同化是指少数群体完全吸收多数群体文化并融入其主流的过程。一般而言，在美国，外貌和文化与多数群体最相似的少数群体被同化的速度最快。而与多数群体最不相符的少数群体则未能被同化，有些人甚至不再希望被同化。

Assimilation is a process by which minorities absorb completely the culture of the majority and enter into its mainstream. Generally, in the United States, the minorities that were most like the majority in looks and culture were assimilated most rapidly. Those most unlike the majority failed to be assimilated, and some no longer want to be.

当多数族群和少数族群之间的所有区别被消除时，就会发生融合。在融合过程中，不同族群和种族的成员通婚，最终他们的后代会形成一个全新的、独特的族群、文化或种族群体。巴西被认为是一个已实施融合的社会的典范，尽管这一过程远非完美，也并未覆盖整个社会。在美国，融合尚未发生，但情况或许正在开始改变。跨种族婚姻曾经在某些州被视为禁忌甚至违法，但现在正以越来越快的速度发生。

Amalgamation takes place when all distinctions between majority and minorities are erased. In amalgamation, members of different ethnic and racial groups intermarry, so that eventually their offspring form a new and distinct ethnic, cultural, or racial group. Brazil is considered an example of a society that has adopted amalgamation, although the process is far from perfect and does not reach throughout the entire society. In the United States, amalgamation has not taken place, but perhaps things are beginning to change. Interracial marriage, once taboo and against the law in some states, is now occurring at an increasingly rapid rate.

尽管多元化和多元文化主义是民主社会的当前理想，但其他政策——以及更恶劣的待遇——也并非闻所未闻。南非多年来一直奉行持续的压迫政策，直到现在才开始慢慢纠正。乌干达也实行过驱逐政策，在伊迪·阿明执政期间驱逐了4万多名亚洲人，越南也驱逐了近百万华人。前南斯拉夫也实行过这种政策，那里的几个族群已经……互相清洗领土。尽管谋杀在所有社会中都是禁忌，但灭绝也有很多先例。定居在新大陆的欧洲人直接或间接地灭绝了北美和南美的大多数原住民。在20世纪，土耳其人对亚美尼亚人进行了种族灭绝，纳粹德国也系统地消灭了欧洲犹太人、吉普赛人、同性恋者和斯拉夫人。波尔布特政权还对大约200万柬埔寨人进行了种族灭绝，胡图族人屠杀了居住在卢旺达的两个民族图西族。21世纪已经见证了苏丹达尔富尔地区和南苏丹更多的种族清洗，以及中东许多地区可怕的驱逐行为。

Although pluralism and multiculturalism are the current ideals in democratic societies, the other policies—and worse kinds of treatment—are hardly unknown. Continued subjugation was for many years the policy of South Africa, one that only now is being slowly remedied. Expulsion has been practiced by Uganda, which expelled more than 40,000 Asians during Idi Amin’s tenure, and Vietnam forced out close to a million ethnic Chinese. It has been practiced in the former Yugoslavia, where several ethnic groups have cleansed their territories of each other. Extermination, too, despite murder being a taboo in all societies, has many antecedents. Europeans who settled in the New World are guilty of exterminating, both directly and indirectly, the majority of the native populations in North and South America. In the twentieth century, genocide was perpetrated by Turks against Armenians, as well as the systematic annihilation of European Jews, Gypsies, homosexuals, and Slavs by Nazi Germany. There was also the genocide of approximately 2 million Cambodians by the Pol Pot regime, and the massacre of Tutsis by Hutus, two ethnic groups residing in Rwanda. The twenty-first century is already a witness to more ethnic cleansing in the Darfur region of Sudan and South Sudan, and horrific expulsions in many parts of the Middle East.

图片 8.2种族灭绝是一种常见的手段，用于消灭那些不愿与之共享领土的群体。这些头骨是卢旺达种族灭绝事件的遗留证据。在这场屠杀中，占多数的胡图族人在100天内屠杀了近百万图西族和温和派胡图族人。

IMAGE 8.2 Genocide is not an uncommon method of eliminating a group with whom one does not want to share a territory. These skulls are the remaining evidence of the genocide in Rwanda, in which members of the Hutu majority slaughtered nearly a million Tutsis and moderate Hutus within a 100-day period.

阻碍：多元化的障碍

In the Way: Obstacles to Pluralism

并非所有共存于同一社会的群体之间的关系都会导致冲突，但很多情况下确实如此。想要保持“霸主地位”是人类的天性。因此，多数群体会运用各种机制，阻止少数群体取代他们在社会体系中的主导地位。在当代社会，这些机制大多已不再合法，也未必是自觉的。其中，最具破坏性的是偏见、歧视以及至今仍被称为种族主义的现象。

Not all relations between groups that coexist in the same society are conflict producing, but many are. It is human nature to want to remain “top dog.” Thus, majorities employ a variety of mechanisms to keep minorities from displacing them from their dominant positions in the social system. Most of these are no longer legal in contemporary societies, nor are they necessarily conscious efforts. Among them, the most destructive are prejudice, discrimination, and what is still referred to as racism.

偏见

Prejudice

偏见源于“预判”（prejudgment），指一个人在对某事没有任何真正了解的情况下就做出判断。即使基于刻板印象和传闻，预判通常也是一种有用的工具，因为有时需要依赖他人的言论或根据肤浅的印象采取行动。但偏见的内涵远不止于此，因为即使面对确凿的证据，有偏见的人也拒绝改变。

Prejudice derives from the word prejudgment, which implies that a person makes up his or her mind about something without any real knowledge about it. Prejudgment is often a useful tool, even though it is based on stereotypes and hearsay, because it is sometimes necessary to depend on someone else’s word or act on superficial impressions. But prejudice goes beyond prejudgment in the sense that a prejudiced person refuses to change even when confronted by unassailable evidence.

偏见很大程度上源于刻板印象。刻板印象是指将共同的、统一的特征强加于某一类人，而完全不考虑个体差异。例如，非裔美国人就被刻板地认为在运动和音乐方面优于白人。本质上，刻板印象的形成，是指某些个体的特质和行为被认为是整个群体的典型特征，或者某个群体行为的某个表面特征被当成该群体的整体行为，而没有试图解释其成因。

Prejudice leans heavily on stereotyping. In stereotyping, common, uniform characteristics are assigned to an entire category of people, without any allowance for individual differences. African Americans, for instance, have been stereotyped as athletically and musically superior to whites. In essence, a stereotype develops when the traits and behavior of some individuals are considered to be typical of the whole group, or a superficial aspect of a group’s behavior is taken as that group’s total behavior, without any attempt to explain its causes.

寻找替罪羊是另一种助长偏见的机制。“寻找替罪羊”一词源于圣经中用山羊作为祭品来换取上帝的宽恕或请求恩惠的做法，指的是受挫者倾向于以攻击性的方式回应。如果无法直接攻击挫折的根源，那么第三方就可能成为攻击的对象。在高失业率、高犯罪率、高通货膨胀等困难时期，总能找到一些群体来承担责任。

Scapegoating is another mechanism that fuels prejudice. Scapegoating, derived from the Biblical practice of offering a goat as sacrifice in exchange for God’s forgiveness or to ask for a favor, is a term that refers to the tendency of frustrated individuals to respond with aggression. If the source of frustration cannot be attacked directly, then a third party may become the object of aggression. In troubled times—high unemployment, high crime rates, inflation—some group can always be found to take the blame.

我们为何会有偏见？

Why Are We Prejudiced?

由于偏见是群体间敌对行为的明显诱因，它已成为众多研究的主题。心理学家的研究似乎表明，愤怒情绪会迅速寻找目标，尤其是当目标恰好来自不同的社会群体、性别或种族时。这一发现与先前的研究相结合，表明偏见可能具有进化根源。它可能是早期人类为了保护自己免受危险而发展出的一种快速而粗暴的方式。愤怒是环境中存在某种程度的威胁或敌意的信号，而逻辑表明，这种威胁可能来自某个并非在同一个社会群体中，因为同一个社会群体的成员通常会相互加强和保护（Wartik，2004，D5）。

Because prejudice is an obvious cause of hostilities among groups, it has been the subject of much research. Research by psychologists seems to point to feelings of anger rapidly seeking a target, particularly if that target happens to be of a different social group, sex, or ethnicity. This finding, added to previous research, suggests that prejudice may have evolutionary roots. It may have developed as a quick, crude way for early humans to protect themselves from danger. Anger is a signal that some level of threat or hostility exists in the environment, and logic indicates that the threat probably comes from someone not in one’s same social group, because members of the same social group generally reinforce and protect each other (Wartik, 2004, D5).

早期的社会学研究似乎表明偏见是由于群体之间的相互隔离造成的。然而，南方的例子并不支持这种理论，因为那里的白人和黑人生活得很近，而且往往关系亲密（尽管一直是主仆关系）。社会心理学家戈登·奥尔波特（Gordon Allport，1954 年）在其著作《偏见的本质》中提出了一种接触理论。根据该理论，当两个地位平等的群体相互接触时，偏见会减少；但是，如果存在地位不平等，并且一个群体对另一个群体占主导地位，偏见就会保持不变甚至增加。事实上，在当代美国南部，人们已经注意到偏见的减少，这可能是因为南方黑人在阶层体系中的地位上升了。随着“隔离但平等”的公共设施的取消，同一社会阶层的黑人和白人的关系更加密切。然而，奥尔波特必须对他的研究结果进行修正：即使两个群体地位平等，如果存在竞争，偏见也会变得更加强烈。相反，如果两个群体为了实现某些共同目标而合作，偏见就会减少。

Early sociological research seemed to indicate that prejudice was due to the isolation of groups from one another. However, the example of the South, where whites and blacks lived in close proximity and often on intimate terms (though always in a master–servant relationship), did not support this theory. In his book, The Nature of Prejudice, social psychologist Gordon Allport (1954) proposed a theory of contact. According to this theory, when two groups of equal status have contact with each other, prejudice decreases; however, if status inequality exists and one group is dominant over the other, prejudice remains the same or actually increases. In fact, in the contemporary South of the United States, a decrease in prejudice has been noted, possibly because Southern blacks have risen in the stratification system. With the elimination of the “separate but equal” public facilities, blacks and whites of the same social class are brought closer together. Allport, however, had to qualify his findings: it seems that even when status is equal between two groups, if there is also competition, prejudice becomes more intense. Conversely, if the groups cooperate to achieve some common goals, prejudice declines.

另一个颇具影响力的理论，关注偏见作为一种人格特质，基于TW·阿多诺等人（1950）的一项如今已成为经典的研究。该研究发现，偏见的发展与一种被称为权威型人格的人格类型高度相关。具有这种人格类型的人过度社会化，只接受自身群体的规范和价值观，排斥所有其他群体。面对不同的规范和价值观时，他们会变得非常焦虑，并坚信与自己不同的人在某种程度上是低劣的、非人类的或有罪的。权威型人格的其他特征包括：服从权威、崇拜权力和强势、墨守成规、对下属表现出屈尊俯就的态度、对与他人的关系漠不关心，以及根深蒂固且部分潜意识的不安全感。对这类人来说，偏见仅仅是他们整体人生观的一部分，在这种人生观中，他们会以绝对的视角来看待处境和问题——好或坏、对或错——并将人分为英雄和恶棍。

Another influential theory, focusing on prejudice as a personality trait, was based on a now-classic study by T. W. Adorno et al. (1950), in which a high correlation between the development of prejudice and a type of personality called authoritarian was found. People with that type of personality are oversocialized to accept only the norms and values of their own group, rejecting all others. They become very anxious when confronted with different norms and values and convince themselves that people who differ from them are somehow inferior, subhuman, or sinful. Other features of an authoritarian personality include submission to authority, admiration of power and toughness, conventionality, condescension toward inferiors, insensitivity to relationships with others, and a deep-rooted and partly subconscious sense of insecurity. In such persons, prejudice is merely part of a total outlook on life in which situations and problems are perceived in terms of absolutes—good or bad, right or wrong—and in which people are either heroes or villains.

歧视

Discrimination

偏见是一种态度或感觉，而歧视则是由于偏见而采取的行动；例如，认为所有拉丁裔都是暴力的是一种偏见，但组织一个委员会阻止他们搬进某个社区则是歧视。

Whereas prejudice is an attitude or a feeling, discrimination consists of actions taken as a result of prejudicial feelings; for instance, the belief that all Latinos are violent is a prejudice, but the organization of a committee to prevent them from moving into a neighborhood is discrimination.

偏见和歧视通常相伴而生，但也可能独立发生。例如，一个人可能一直认为拉丁裔人很暴力。然而，如果这个人作为一个守法公民，允许拉丁裔家庭搬进社区，且不对他们进行任何形式的骚扰或干涉，那么这个人就表现出了偏见，但并非歧视。另一方面，一个人可能对拉丁裔人完全没有偏见；但如果为了维系邻居的友谊，签署请愿书，阻止拉丁裔家庭在他们居住的街道上购置房产，那么这个人就表现出了歧视，但并非偏见。然而，一般来说，偏见和歧视是相辅相成的。

Prejudice and discrimination usually go hand in hand, but they can also occur independent of each other. A person may, as an example, continue to believe that Latinos are violent. If, nonetheless, that person, being a law-abiding citizen, allows Latino families to move into the neighborhood without harassment or interference of any sort, the person is exhibiting prejudice without discrimination. On the other hand, a person may not harbor prejudicial feelings about Latinos at all; but if, to retain the friendship of neighbors, the person signs a petition to keep a Latino family from buying property on their street, that person is discriminating without being prejudiced. In general, however, prejudice and discrimination are mutually reinforcing.

在美国，歧视是违法的。然而，由于歧视与偏见密切相关，某些类型的歧视在社会中仍然普遍存在。歧视通常分为两种类型：态度歧视和制度歧视。态度歧视是指由多数群体成员的个人偏见或他人偏见引发的行为。制度歧视是指存在于群体内部的不平等制度。一个社会，而非个人偏见。威廉·J·威尔逊在其著作《种族的衰落意义》（1978）和《真正弱势群体》（1987）中推测，过去，态度歧视是造成非裔美国人不平等地位的罪魁祸首，而如今，这一问题主要归咎于与种族关系不大、而与经济变化息息相关的因素。具体而言，从制造业向服务业的转变导致劳动力市场分化为低工资和高工资部门，技术创新需要高技能劳动力，制造业迁出中心城市甚至迁出美国，这些因素阻碍了非裔美国人获得经济机会。即使消除所有种族偏见，很大一部分非裔美国人仍将处于失业或就业不足的状态，无法谋求发展。

Discrimination is against the law in the United States. However, because it is so closely interrelated with prejudice, certain kinds of discrimination are still prevalent to a degree in the society. Discrimination is viewed as being of two types: attitudinal and institutional. Attitudinal discrimination refers to behavior that is prompted by the personal prejudice of a member of a majority or in response to the prejudice of others. Institutional discrimination refers to the system of inequalities existing within a society, apart from the prejudices of individuals. In The Declining Significance of Race (1978) and The Truly Disadvantaged (1987), William J. Wilson speculated that whereas in the past attitudinal discrimination was to blame for the unequal status of African Americans, today the fault is attributable largely to factors that have little to do with race and much to do with changes in the economy. Specifically, the shift from manufacturing to a service economy that has polarized the labor market into low-wage and high-wage sectors, technological innovations that require a highly skilled labor force, and the relocation of manufacturing industries out of the central cities—or out of the country altogether—are primarily responsible for blocking economic opportunities to African Americans. Even if all racial prejudice were eliminated, a good portion of African Americans would remain unemployed or underemployed and would fail to thrive.

一次又一次，每一个处于阶层体系底层的群体都遭遇了恶毒的偏见和歧视，以及悲观的预测，认为他们低人一等，永远无法摆脱低下的地位。然而，一次又一次，一旦这些群体提升了职业地位，并达到了与大多数人相当的经济地位，针对他们的偏见就会减少。关于向上流动的机制，斯塔克（1985）认为，这些机制包括地理集中、内部经济发展和专业化，以及最终的中产阶级的发展。对于缺乏实质性中产阶级的群体来说，向上流动的速度会减缓，而且在中产阶级发展之前，偏见和歧视往往会持续存在。

Time after time, every group that has been at the bottom of the stratification system has encountered virulent prejudice and discrimination coupled with gloomy predictions that the group was too inferior to ever rise out of their low status. And yet, time after time, once such groups improved their occupational position and achieved an economic status comparable to that of the majority, prejudice against them diminished. As to the mechanisms of upward mobility, Stark (1985) suggests that they include geographic concentration, internal economic development and specialization, and finally, development of a middle class. Upward mobility is slowed for groups that lack a substantial middle class, and until a middle class develops, prejudice and discrimination tend to persist.

种族主义

Racism

偏见和歧视是通常被称为种族主义的一种态度的主要组成部分。尽管种族主义通常被理解为对某些种族群体成员的仇恨，但在社会科学的语言中，它曾经有着更精确的含义。它指的是这样一种意识形态：某些种族群体基于某些可识别的特征（例如肤色）而优于其他种族群体，并且这种信念使歧视那些被认为低劣的群体成为正当行为。与这种信念相关的是，种族群体的生理和行为特征都是生物遗传的。种族主义当然与种族概念相关，正如我们之前所见，种族概念已不再被认为是有效的。然而，种族概念以及种族术语仍然存在，而且不仅仅存在于美国。古往今来，所有社会都存在着某种形式的种族主义，而种族主义不过是民族中心主义的另一种表现形式（参见第三章）。一个群体感到自己比另一个群体优越的能力，在历史上起到了为建立在一个群体对另一个群体的统治基础上的社会秩序提供理论基础的作用，也就是说，“利用对基因优劣的信念作为一种手段，为一个种族群体对另一个种族群体的统治和剥削辩护”(Yetman, 1985, 14)。

Prejudice and discrimination are the chief components of an attitude that is commonly called racism. Although racism is popularly understood as hatred of members of certain racial groups, in the language of the social sciences it used to have a more precise meaning. It referred to the ideology that some racial groups are superior to others based on a recognizable trait, such as skin color, and that this belief justified discrimination against the group deemed inferior. Related to this belief was the idea that both the physical and behavioral traits of racial groups are inherited biologically. Racism is, of course, related to the concept of race, which, as we saw earlier, is no longer recognized as valid. Still, the concept, as well as the term, persists, and not just in the United States. All societies, throughout the ages, have practiced one form or another of racism, which is just another version of ethnocentrism (see Chapter 3). This ability of one group to feel superior to others has functioned historically to provide a rationale for a social order based on the domination of one group over another, that is, “to use beliefs in genetic superiority–inferiority as a means of justifying domination and exploitation of one racial group by another” (Yetman, 1985, 14).

种族主义作为一种意识形态，源于达尔文的进化论，尤其是其适者生存的理念（尽管达尔文本人从未打算赋予其这种社会意义）。该理论被应用于人类群体（社会达尔文主义），并被用来合理化欧洲人对一些国家的殖民统治。由于欧洲人发展了自治和代议制政府，这些国家被认为是进化程度最高、文明程度最高的民族。

As an ideology, racism originated in Darwin’s theory of evolution, particularly its concept of the survival of the fittest (although Darwin himself never intended to give it this social meaning). This theory was applied to human groups (social Darwinism) and used to rationalize the colonization of a number of nations by Europeans. The latter were considered the most highly evolved and civilized of peoples because of the development of self-rule and representative government among them.

如今，种族主义作为一种意识形态在世界各地已日渐式微，在美国，很少有人会承认自己持有种族主义信仰。然而，这种意识形态已被一些顽固的制度化种族主义以及一些群体之间相互认同的谬论所取代。“种族主义”一词依然存在于我们的词汇中，尽管大多数人错误地将其归咎于歧视行为、偏见，或仅仅将其视为负面情绪的表达。

Today, racism as an ideology has declined all over the world, and very few people in the United States would admit to subscribing to racist beliefs. The ideology, however, has been replaced by some stubborn forms of institutional racism and by a number of myths that each group believes about the other. The term remains in our vocabulary, although most people mistakenly attribute it to discriminatory actions or prejudicial feelings or simply as an expression of negative sentiments.

表 8.1 2013 年美国常住人口估计数

TABLE 8.1 2013 estimates of the resident population of the United States

仅白人，百分比，2013 年(a)

White alone, percent, 2013 (a)

77.7%

2013 年黑人或非裔美国人占比(a)

Black or African American alone, percent, 2013 (a)

13.2%

仅美洲印第安人和阿拉斯加原住民，百分比，2013 年(a)

American Indian and Alaska Native alone, percent, 2013 (a)

1.2%

2013 年亚裔占比(a)

Asian alone, percent, 2013 (a)

5.3%

2013 年夏威夷原住民和其他太平洋岛民占比(a)

Native Hawaiian and Other Pacific Islander alone, percent, 2013 (a)

0.2%

两场或多场竞选，百分比，2013年

Two or More Races, percent, 2013

2.4%

西班牙裔或拉丁裔，百分比，2013 年(b)

Hispanic or Latino, percent, 2013 (b)

17.1%

2013 年，白人（非西班牙裔或拉丁裔）占比

White alone, not Hispanic or Latino, percent, 2013

62.6%

^（a）包括仅报告一个种族的人士。

^(a)Includes persons reporting only one race.

^(b)西班牙裔可能属于任何种族，因此也包括在适用的种族类别中。

^(b)Hispanics may be of any race, so also are included in applicable race categories.

资料来源：美国人口普查局：州及各县概况。数据来源于人口估计、美国社区调查、人口与住房普查、州及各县住房单元估计、各县商业模式、非雇主统计数据、经济普查、企业主调查和建筑许可。

Source: U.S. Census Bureau: State and County QuickFacts. Data derived from Population Estimates, American Community Survey, Census of Population and Housing, State and County Housing Unit Estimates, County Business Patterns, Nonemployer Statistics, Economic Census, Survey of Business Owners, Building Permits.

少数族裔

Racial Minorities

美国四大可见的少数族裔群体包括美洲原住民、非裔美国人、部分拉丁裔美国人和亚裔美国人（见表8.1；请注意，如今美国总人口已超过3亿）。除亚裔美国人外，其他少数族裔的历史与后来移民的少数族裔截然不同。互联网上的一些网站简要探讨了2050年美国的面貌。

The four visible racial minority groups in the United States consist of Native Americans, African Americans, some Latinos, and Asian Americans (Table 8.1; note that the total population of the United States today has increased to over 300 million). With the exception of Asian Americans, racial minorities have had a different history than the more recently arrived ethnic minorities. The way the United States will look in 2050 is briefly explored on several Web sites on the Internet.

美洲原住民

Native Americans

南达科他州的里奇保留地是苏族奥格拉拉分支的所在地，他们是“疯马”和“红云”等著名战争英雄的后裔。不幸的是，这里的1.6万居民正经历着美国最严重的贫困。不到十分之三的成年人有工作，而且几乎全部在政府机构工作。他们饱受孤立、疾病、政治内斗和找不到工作的困扰，最终不得不依赖社会福利，并最终患上抑郁症和酗酒。少数族裔常常陷入恶性循环：缺乏技能、远离工作岗位或与工作隔绝导致失业，而对社会福利的依赖则养成了不利于获得和保住工作的习惯。然而，2013年，25%的16岁以上的美国原住民和阿拉斯加人从事管理和专业职业，另有25%从事服务业。此外，2008年，76%的美国原住民和阿拉斯加人完成了高中学业，他们的收入中位数为37,815美元。

Ridge Reservation in South Dakota is home to the Oglala branch of the Sioux, the descendants of such famous war heroes as Crazy Horse and Red Cloud. Unfortunately, its 16,000 inhabitants are experiencing the most profound poverty in the United States. Fewer than three in ten adults have jobs, nearly all of which are in government agencies. They are ravaged by isolation, disease, political infighting, and the inability to find jobs, leading to dependence on welfare and ultimately to depression and alcoholism. In a vicious circle that often plagues minorities, lack of skills and distance or isolation from jobs leads to unemployment, and the dependence on welfare develops habits not conducive to getting and keeping jobs. However, 25 percent of Native Americans and Alaskans over 16 worked in managerial and professional occupations in 2013, and another 25 percent in service occupations. In addition, in 2008, 76 percent had finished high school, and their median income was $37,815.

部落主义使美洲原住民的问题变得更加复杂——许多人认为自己主要是纳瓦霍人或切罗基人，等等，因为美洲原住民没有统一的文化或语言。（美洲原住民分为大约500个部落群体，其中约50种原始语言仍在使用。）直到最近几十年，新的战斗精神才开始显现，美国印第安人运动的政治活动日益活跃就是明证。这不仅促成了部分土地的归还，也促成了经济自给自足的努力。在……之后借鉴民权运动的经验教训，美国原住民开始利用司法系统，因此过去 20 年为他们提起的诉讼比之前 200 年还要多。

The problems of Native Americans have been complicated by tribalism—many think of themselves as primarily Navajo or Cherokee, and so on because there is no uniform Native American culture or language. (Native Americans are divided into approximately 500 tribal groups, and around 50 of their original languages are still spoken.) Only in the past several decades has a new militancy become evident, as witnessed by an increase in political activity through the American Indian Movement. This has resulted in the return of some lands as well as in an effort to develop economic self-sufficiency. Following the lessons of the civil rights movements, Native Americans are beginning to use the judicial system, so that more litigation on their behalf has been initiated in the past 20 years than in the previous 200.

亚裔美国人

Asian Americans

在20世纪70年代大规模亚裔移民开始之前，居住在美国的两大亚裔少数族裔曾是华裔和日裔。如今，亚裔美国人构成了一个庞大、高度多元化且绝大多数出生在外国的群体。华裔和菲律宾裔构成了最大的亚裔群体，其次是日裔、印度裔、韩裔和越南裔。这些群体在文化、宗教和语言上彼此不同，也与占主导地位的多数族裔不同，但在公众心目中通常被归为一类。截至2014年，美国亚裔总数超过1940万，约占美国总人口的5%。这比1980年（当时占总人口的1.5%）有所增长。新移民展现出各种各样的文化形态，社会阶层和技能各不相同（Rodriguez，1998，21）。然而，就经济成就和公民意识而言，他们正成为一个不容小觑的群体。请访问一个描述亚裔起源和发展的网站：www.newgeography.clm/content/004825-asians-americans-fastest-growing-minority。您也可以访问：www.asian-nation.org。

The two largest Asian minorities living in the United States used to be the Chinese and the Japanese, before the large-scale Asian immigration that began in the 1970s. Today, Asian Americans constitute a large, highly diverse, and overwhelmingly foreign-born population. Chinese and Filipinos make up the largest Asian contingents, followed by Japanese, Indians, Koreans, and Vietnamese. These groups are culturally, religiously, and linguistically different from each other as well as from the dominant majority, but are generally classified together in the public mind. The total number of Asians in the United States as of 2014 is over 19.4 million, or about 5 percent of the U.S. population. This represents an increase from 1980, when they were 1.5 percent of the population. The new immigrants display a wide variety of cultural forms, differing in social class and skills (Rodriguez, 1998, 21). However, they are becoming a group to be reckoned with in terms of their economic success and civic-mindedness. See a Web site that describes Asian provenance and growth: www.newgeography.clm/content/004825-asians-americans-fastest-growing-minority. You could also peruse: www.asian-nation.org.

总体而言，亚裔美国人在经济上取得了成功，其家庭财富中位数在所有少数族裔群体中最高（2014年为91,440美元），离婚率（5%）和青少年怀孕率（6%）最低，失业率（2012年为5.8%，但由于各群体之间存在差异，因此很难概括所有亚裔美国人；此外，一些亚裔美国人似乎失业时间更长）。他们的贫困率为11.9%，尽管有一部分人靠社会福利生活，尤其是那些来自东南亚、在越南战争后移民的人。（因此，2008年印度裔亚裔的收入中位数为90,528美元，而越南裔美国人的收入中位数为55,667美元。）在加利福尼亚州，该州居住着近40%的美国亚裔人口，亚裔拥有的大学学位水平高于白人，并且在一代人的时间内，他们在教育和收入方面都超过了白人。 25岁至64岁之间的亚裔中，61%拥有大学学位。80%的亚裔家庭拥有互联网。更令人震惊的是，25岁及以上的亚裔和太平洋岛民中，16%拥有高级学位（硕士、博士、医学博士或法学博士），而该年龄段所有成年人的相应比例为9%。请参阅www.pewsocialtrends.org/asianamericans-graphics/。

In general, Asian Americans have been financially successful, exhibiting the highest median family wealth of any minority group ($91,440 in 2014), the lowest divorce rates (5 percent) and teenage pregnancy rates (6 percent), and the lowest unemployment rates (5.8 percent in 2012, although it is difficult to speak of all Asian Americans, as there are differences among the groups; also, some Asian Americans seem to suffer longer stretches of unemployment). Their poverty rate was 11.9 percent, although a percentage live on welfare, particularly those originating in Southeast Asia who immigrated after the Vietnam War. (Thus, the median income of Asian Indians was $90,528 in 2008, whereas that of Vietnamese Americans was $55,667.) In California, which is the residence of almost 40 percent of the Asian population in America, Asians have a higher level of college degrees than whites, and they outperform them in both education and income within one generation. Sixty-one percent of Asians between the ages of 25 to 64 have a college degree. And 80 percent live in households with the Internet present. Even more striking, 16 percent of Asian and Pacific Islanders 25 years old and over have advanced degrees (Master’s, Ph.D., M.D., or J.D.), whereas the corresponding rate for all adults in this age group is 9 percent. See www.pewsocialtrends.org/asianamericans-graphics/.

非裔美国人

African Americans

截至2013年，非裔美国人占美国总人口的13.2%，约4500万人。他们在美国的历史比任何其他非白人群体都要悠久：到1776年美国独立时，几乎所有非裔美国人都是土生土长的。然而，黑人融入美国社会主流的过程因其自身面临的特殊问题而变得复杂，经济因素更是雪上加霜。

As of 2013, African Americans represented 13.2 percent of the total population of the nation, or approximately 45 million. They have been here longer than any other nonwhite group: by 1776, the year of American independence, nearly all African Americans were native-born. However, the entrance of blacks into the mainstream of American society has been complicated by their special problems and made more difficult by economic causes.

众所周知，非裔美国人最初并非自愿来到美国寻求更好的未来，而是被贪婪的非洲人和欧洲人逼迫为奴，并被卖给北美和南美的殖民者，作为廉价劳动力。作为异乡的奴隶，他们与本土文化隔绝，处境格外脆弱。最终在奴隶中形成的文化，吸收了主流多数人对他们的一些负面看法。虽然其他移民如果在这里生活不顺，可以随时返回故土，但非洲人却没有这样的出路。

As is well known, African Americans originally did not come to this country voluntarily in search of a better future but rather were forced into slavery by greedy Africans and Europeans and sold to the colonists of North and South America as a form of cheap labor. As slaves in a foreign land, cut off from their native culture, they found themselves in a particularly vulnerable position. The culture that eventually emerged among the slaves incorporated some of the negative perceptions toward them exhibited by the dominant majority. And although other immigrants could always go back to their native land if things did not work out here, no such outlet was open to Africans.

一些历史学家质疑奴隶制作为一种有害制度的普遍观点，认为它会导致家庭分裂或为市场培育奴隶。相反，尽管存在奴隶制，但社会结构依然发展，这可以被视为衡量黑人成就的标准。在奴隶制时期发展起来的黑人家庭是一个强大而持久的制度，拥有稳定的核心形式和维多利亚时代的道德观（Fogel & Engerman，1974）。研究人员已经证明，黑人家庭生活在奴隶制时期至关重要，并指出单亲黑人家庭主要是近几十年才出现的现象，而非奴隶时代的遗留（Gutman，1976）。

Some historians have challenged the common view of slavery as a debilitating institution, responsible for splitting families or breeding slaves for the market. On the contrary, the fact that a social structure developed despite slavery could be considered a measure of black achievement. The black family that developed during slavery was a strong and enduring institution in a stable nuclear form and with a Victorian morality (Fogel & Engerman, 1974). Researchers have shown that black family life was vital during slavery, pointing out that the single-parent black household is primarily a phenomenon of recent decades and not a holdover from slave days (Gutman, 1976).

由于非裔美国人直到最近一直是最大的少数族裔群体，因此在就业竞争中对多数族裔构成了最大的威胁。这种情况在过去尤其明显，当时移民限制使黑人成为唯一的廉价劳动力来源，并迫使他们与大量非技术白人工人竞争。当然，人口规模也是一个强大的政治工具；在投票障碍消除后，非裔美国人充分利用了他们的优势，全国各地越来越多的非裔美国人担任民选公职就证明了这一点。

Because they have been until recently the largest minority group, African Americans represent the greatest threat to the majority in competing for jobs. This was especially true in the past, when restrictions on immigration left blacks as the only source of cheap labor and had them competing with a large pool of unskilled white workers. Size, of course, is also a powerful political tool; after barriers to voting were removed, African Americans took advantage of their strength, as witnessed by the increasing numbers who hold elected office around the country.

尽管根深蒂固的偏见和公开的歧视使得黑人难以向上流动和融入社会，但主要的障碍似乎在于经济因素。二战前，绝大多数非裔美国人生活在南方农村，而这一地区直到不久前仍饱受落后和贫困的困扰。在南方农村，黑人和白人的教育、住房和医疗保健水平都低于标准，因为南方各州无力向其公民征收足够的税款来支持这些服务。

Even though the deep prejudice and open discrimination against blacks made their upward mobility and integration into the society difficult, the principal obstacle seems to have been economic in nature. Until World War II, the great majority of African Americans lived in the rural South, a region that until recently suffered from backwardness and poverty. Education, housing, and health care were substandard in the rural South for both blacks and whites because the Southern states could not tax their citizens enough to support these services.

第二次世界大战的爆发带来了国防工业对工人的需求，而这些工业主要位于北方城市。一列列贫穷的非裔美国人开始离开南方，去寻找比工业工作更高的报酬。然而，这些非裔美国人原本只是自给自足的农民或农场工人。他们缺乏教育和技术技能，也不熟悉城市生活的本质。根据斯塔克（Stark，1985）的说法，这些特质使他们与来自外国文化的移民相媲美。从这个角度来看，他们与其他少数族裔和种族相比更具优势，后者在大约两三代人的时间里改善了经济状况，并开始融入主流社会。不幸的是，从20世纪70年代开始，工业和制造业工作——这些曾是许多前几代移民向上流动的途径——在美国城市开始枯竭，导致一部分非裔美国人陷入失业和就业不足的境地（索维尔，1983）。

The advent of World War II brought a need for workers in the defense industries, which were located chiefly in the urban North. Trainloads of poor African Americans began leaving the South in search of the better pay that industrial work offered. However, these African Americans had been subsistence farmers or farm laborers. They lacked education and technical skills and were not acquainted with the nature of urban life. According to Stark (1985), these traits made them comparable to immigrants from foreign cultures. From this perspective, they compare quite favorably with other ethnic and racial minorities, who improved their economic situation and thus began their entry into mainstream society in about two or three generations. Unfortunately, beginning with the 1970s, industrial and manufacturing jobs that had been an avenue of upward mobility for many previous generations of immigrants began to dry up in American cities, leaving a proportion of African Americans subject to unemployment and underemployment (Sowell, 1983).

尽管如此，非裔美国人的境况在随后的几年里持续改善。甚至在民权运动和平权法案生效之前，黑人就已经开始取得实质性的进步。到20世纪90年代中期，40%的非裔美国人已跻身中产阶级（如今，原本主要存在于黑人社区内部的极少数群体已发展壮大）；三分之一的非裔美国人居住在郊区，其中很大一部分（59%的女性和32%的男性）从事中产阶级职业。过去几十年来，黑人律师、医生和工程师的数量急剧增加，黑人政府工作人员、药剂师、数学家、设计师和工程师的收入接近，有时甚至超过白人同行。事实上，到2013年，28.1%的16岁及以上黑人从事管理、专业及相关职业。请参阅：www.census.gov/newsroom/facts-for-features/2015/cb15-ff01.html。

Despite this, conditions continued to improve for African Americans in the following years. Blacks had begun to make substantial progress even before the civil rights movement and affirmative action were put into effect. By the mid-1990s, 40 percent of African Americans were squarely in the middle class (today, the tiny minority that had existed mainly within the boundaries of the black community has grown much larger); a third lived in suburbs, and a high proportion (59 percent of women and 32 percent of men) were in middle-class occupations. The past several decades have seen sharp increases in the number of black lawyers, doctors, and engineers, and the earnings of black government workers, pharmacists, mathematicians, designers, and engineers approximate, and on occasion surpass, those of their white counterparts. In fact, by 2013, 28.1 percent of blacks age 16 and older work in management, professional, and related occupations. See: www.census.gov/newsroom/facts-for-features/2015/cb15-ff01.html.

20 世纪 90 年代发生的变化包括，黑人公职人员的数量从 1970 年的 1,469 人增加到 1995 年的 8,406 人。今天，在 435 名众议院代表中，有 43 名是非裔美国男女，而在 50 名参议员中，有 2 名是黑人。

Among other changes that occurred in the decade of the 1990s, the number of black officeholders increased from 1,469 in 1970 to 8,406 in 1995. Today, of the 435 representatives in the House, 43 are African-American men and women, while of the 50 Senators, two are black.

非裔美国人在众多美国城市当选市长。与经济成就密切相关的大学入学率从仅7.2%上升至1960 年这一比例下降到 1995 年的 37.5%（然而，1998 年非裔美国人完成四年或四年以上大学教育的比例为 14.7%，而全国这一比例为 24.4%）。到 2012 年，25 至 29 岁的非裔美国人中，83.2% 拥有高中文凭，18.7% 拥有学士学位，160 万人拥有高级学位（美国劳工统计局每年二月都会发布一份非裔美国人劳动力概况，以纪念非裔美国人历史月。）另见www.senate.gov/CRSReports/crs-publish.cfm?pid=%260BL%BR%5CC%3F%0A。

African-American mayors were elected in a vast number of American cities. College attendance, which is closely related to economic achievement, increased from only 7.2 percent in 1960 to 37.5 percent by 1995 (however, completion of four or more years of college in 1998 stood at 14.7 percent for African Americans, compared to 24.4 for the entire country). By 2012, 83.2 percent of African Americans aged 25 to 29 had a high school diploma, 18.7 percent had a bachelor’s degree, and 1.6 million had an advanced degree (the Bureau of Labor Statistics produces an overview of African Americans in the labor force every February in honor of African American History Month.) Also, see www.senate.gov/CRSReports/crs-publish.cfm?pid=%260BL%BR%5CC%3F%0A.

白人和黑人之间的收入差距也同样缩小了；然而，不平等现象依然明显。2002年，人口普查局重新定义了族裔和种族类别，允许成员选择自己的族裔或种族构成，因此很难对收入和贫困进行单一比较。2014年，仅报告黑人或黑人与一个或多个其他种族混合的家庭的年收入中位数为34,598美元，而全国实际家庭收入中位数为51,939美元。更多数据和更详细的解释，请访问：www.pewresearch.org/fact-tank-2014/12/12/racial-wealth-gaps-great-recession/。此外，您还可以在以下网址找到大量关于此主题的图表：www.census.gov/conten/dam/Census/library/publications/2014/demo/p60-249.pdf。贫困率为27.2%，而官方公布的全国贫困率为15%。同时，如前所述，28.1%的16岁及以上黑人从事技术、销售和行政支持工作以及管理和专业技术工作。大约有4.4万名黑人医生、8万名高等教育教师、5.2万名首席执行官、9.1万名工程师和4.83万名律师。最后，43.2%的黑人拥有自己的住房（白人拥有住房的比例为73.4%）。然而，由于经济衰退，黑人失业率一直居高不下，2010 年上升至 17.2%（但 2014 年 8 月下降至 11.4%）；19.5% 的非裔美国人没有医疗保险，而非西班牙裔白人没有医疗保险的比例仅为 10.4%；非裔美国人罹患艾滋病毒/艾滋病、心脏病、中风、癌症、糖尿病和凶杀案的几率高于其他美国人（美国卫生与公众服务部；CDC，2014 年；劳工统计局，www.bls.gov/ news.release/empsit.09052014.pdf ）。

The income gap between whites and blacks has similarly narrowed; nonetheless, inequalities are still obvious. In 2002, ethnic and racial categories were redefined by the Census Bureau, allowing members to choose their own ethnic or racial makeup, so a single comparison of income and poverty is difficult to make. The annual median income of households that reported only black or black in combination with one or more other races in 2014 was $34,598 whereas the real median household income nationally was $51,939. For later figures and a fuller explanation see: www.pewresearch.org/fact-tank-2014/12/12/racial-wealth-gaps-great-recession/. In addition, a plethora of graphs and charts on the subject may be found at: www.census.gov/conten/dam/Census/library/publications/2014/demo/p60-249.pdf. The poverty rate was 27.2 percent, in contrast to the official national poverty rate of 15 percent. At the same time, as noted earlier, 28.1 percent of blacks age 16 and older worked in technical, sales, and administrative support jobs and managerial and professional specialty jobs. There were approximately 44,000 employed black physicians, 80,000 postsecondary teachers, 52,000 chief executives, 91,000 engineers, and 48,300 lawyers. Finally, 43.2 percent of all blacks owned their own homes (73.4 percent of whites did). However, black unemployment, always high, rose to 17.2 percent in 2010 (but declined to 11.4 percent in August 2014), as a result of the recession; 19.5 percent of African Americans had no health insurance, compared to 10.4 percent of non-Hispanic whites; and African Americans suffer from HIV/AIDS, heart disease, stroke, cancer, diabetes, and homicide to greater degrees than other Americans (U.S. Department of Health and Human Services; CDC, 2014; Bureau of Labor Statistics, www.bls.gov/news.release/empsit.09052014.pdf).

种族差异缩小的另一个迹象是社会和政治对种族态度的显著转变。皮尤研究中心2012年秋季发布的一项调查发现，两种种族的美国人在个人层面都变得更加宽容。例如，黑人和白人约会的观念如今已被广泛接受：1980年，只有一半的美国公众认为黑人和白人约会是可以接受的；而到了2007年，这一比例上升到了83%。至于跨种族婚姻，皮尤研究中心的一项最新研究发现，17%的非裔美国人与异族通婚，9%的白人也与异族通婚。这与1970年形成了鲜明对比，当时所有已婚夫妇中，只有不到1%的配偶来自不同的种族（Wang，2012）。

Another indication of the lessening of differences between the races is the dramatic change in the social and political attitudes about race. A survey by the Pew Research Center released in the fall of 2012 found that Americans of both races have become much more personally tolerant. For instance, the idea of blacks and whites dating is now widely accepted: in 1980, only half of the American public agreed that it was all right for blacks and whites to date each other; in 2007, 83 percent agreed. As for interracial marriage, a newer study by the Pew Research Center found that 17 percent of African Americans married out and 9 percent of whites also did. This is in stark contrast to 1970 when less than 1 percent of all married couples consisted of spouses of different races (Wang, 2012).

调查中也体现了代际差异，尽管视角不同：美国年轻人（18-29岁）比年长受访者（尤其是65岁以上的群体）更有可能倾向于保留独特的文化。哈佛大学社会学家威廉·朱利叶斯·威尔逊（William Julius Wilson）认为，这种态度是积极的；它表明人们接受多元文化主义，而这种观念年轻人在学校就已习得（Goodheart，2004，37-41，75）。

Generational differences show up in surveys as well, although in a different light: young Americans (ages 18–29) are more likely than older respondents, especially the 65-plus segment, to favor the retention of distinctive cultures. Harvard sociologist William Julius Wilson suggests that such an attitude is a positive thing; it shows an acceptance of multiculturalism, an idea young people have acquired in school (Goodheart, 2004, 37–41, 75).

尽管人们普遍认为非裔美国人在获得与主流社会其他成员几乎平等的地位方面取得了长足进步，但学术和人口统计数据表明，非裔美国人群体存在两个不同的群体。一个群体由中产阶级和富裕的黑人组成，他们因民权运动带来的更多机遇而蓬勃发展。另一个群体由贫困的、主要居住在城市的黑人组成，他们在社会和经济上仍然与美国主流社会隔绝。

Although there is agreement that African Americans have progressed a great deal in attaining a status nearly equal to others in mainstream society, academic and demographic sources provide evidence for the existence of two African-American communities. One is made up of middle-class and affluent blacks who have flourished as a result of the increased opportunities that came with the civil rights movement. The other consists of poor, mainly urban blacks, who remain socially and economically isolated from the American mainstream.

图 8.3过去几十年，非裔美国人取得了长足进步。巴拉克·奥巴马于 2008 年当选美国总统。

IMAGE 8.3 African Americans have made great strides in the past several decades. Barack Obama was elected president of the United States in 2008.

iStock：© EdStock

iStock: © EdStock

西班牙裔美国人

Hispanic Americans

超过5400万的西班牙裔美国人约占美国总人口的17%，且其人口增长速度是美国其他人口的五倍（美国人口普查局，2013年；Facts for Features. 西班牙裔传统月，201年9月15日至10月15日）。西班牙裔与少数种族和族裔的类别存在重叠，因为有些西班牙裔是黑人，有些是南美印第安人，还有一些是白人。（顺便说一句，“西班牙裔”是美国机构为了官僚主义的便利而使用的名称。一些讲西班牙语的人更喜欢被称为“拉丁裔”，因为这个名字指的是一种土著文化，即拉丁美洲的文化，而不是仅仅依赖于西班牙的文化。）他们已经取代非裔美国人，成为美国最大的少数族裔群体。大多数西班牙裔居住在佛罗里达州、新墨西哥州、加利福尼亚州和德克萨斯州。其他拥有100万或以上西班牙裔人口的州是纽约州、伊利诺伊州、亚利桑那州和新泽西州。

The more than 54 million Hispanic Americans represent about 17 percent of the U.S. population and are growing five times faster as a group than the rest of the American population (U.S. Bureau of the Census, 2013; Facts for Features. Hispanic Heritage Month. September 15–October 15, 201). Hispanics overlap the categories of racial and ethnic minorities inasmuch as some Hispanics are black, others are South American Indians, and still others are white. (Incidentally, Hispanic is a name used by U.S. agencies for bureaucratic convenience. Some Spanish-speaking individuals prefer to be called Latinos because the name refers to an indigenous culture, that of Latin America, rather than depending solely on the culture of Spain.) They have overtaken African Americans as this country’s largest minority group. The majority of Hispanics live in Florida, New Mexico, California, and Texas. Other states containing Hispanic populations of 1 million or more are New York, Illinois, Arizona, and New Jersey.

拉丁裔社区虽然从统计数据来看较为贫困，但似乎正在蓬勃发展，拥有众多小商店、市场和汽车旅馆，而许多中心城市的贫困社区则明显衰落。原因在于，拉丁裔社区保持了其社区的完整，他们在拉丁裔商店购物、咨询拉丁裔医生、阅读拉丁裔报纸、收听拉丁裔广播和观看拉丁裔电视台。这种强烈的社区意识将有助于拉丁裔在面临来自与他们共享生活空间的其他群体的敌意时，争取政治代表权和其他权利。

Latino neighborhoods, even though statistically poor, seem to be thriving, with lots of small stores, markets, and motels, whereas poor neighborhoods in many central cities are visibly declining. The reason is that Latinos have kept their communities intact, shopping at Latino stores, consulting Latino doctors, reading Latino newspapers, listening to Latino radio, and watching Latino TV stations. This strong sense of community will serve Latinos well in their quest for political representation and other rights in the face of hostility from other groups with whom they share their living space.

然而，拉丁裔群体并非一个统一的群体，他们也没有共同的文化。由于成员来自不同的时代和不同的地方，这个群体支离破碎。事实上，拉丁裔的种族谱系也十分广泛，因为他们既是新大陆最初的西班牙殖民者，也是中美洲、南美洲和加勒比地区原住民的后裔。然而，他们却因共同的西班牙语、西班牙姓氏以及……而紧密联系在一起。他们的宗教信仰是罗马天主教。三大主要分支是墨西哥裔美国人或奇卡诺人（约占64%）、波多黎各人（9%）和古巴人（3.5%）。其他讲西班牙语的群体包括来自中美洲和南美洲国家的原住民。

Latinos do not constitute a unified community, however, nor do they possess a common culture. This group is fragmented because members came at different times and from different places. In fact, Latinos range over a wide racial spectrum as well because they are the descendants of the original Spanish settlers of the New World and native populations of Central and South America, as well as the Caribbean. They are, however, bound together by their common Spanish language, by their Spanish surnames, and by their Roman Catholic religion. The three major subdivisions are Mexican Americans or Chicanos (approximately 64 percent), Puerto Ricans (9 percent), and Cubans (3.5 percent). Other Spanish-speaking groups include natives of Central and South American countries.

约24%的西班牙裔从事服务业，19.5%从事管理和专业职业。2012年，西班牙裔的实际家庭收入中位数为39,005美元，同年贫困率为25.6%。约29.1%的人没有医疗保险。3700万人（约1.7亿）在家讲西班牙语。教育程度方面，25岁及以上人群中，64%至少拥有高中文凭，13.8%拥有学士学位，约130万18岁及以上人群拥有高级学位。约46%的西班牙裔拥有自己的住房。详情请参阅：www.census.gov/newsroom/facts-for-features/2014/cb14-ff22.html。

About 24 percent of Hispanics work in service occupations and 19.5 percent in managerial and professional occupations. The real median household income of Hispanics in 2012 was $39,005, and the poverty rate was 25.6 percent that same year. Around 29.1 percent lacked health insurance. A large number—37 million—speak Spanish at home. As for education, 64 percent of those 25 years old and over had at least a high school diploma, 13.8 percent in the same age group had a bachelor’s degree, and about 1.3 million 18 and over had an advanced degree. About 46 percent of Hispanics own their own home. See: www.census.gov/newsroom/facts-for-features/2014/cb14-ff22.html.

墨西哥裔美国人的家庭往往最大，而古巴裔美国人的家庭则最小。

Mexican Americans tend to have the largest families, and Cubans have the smallest.

许多墨西哥裔美国人实际上是美国本土人，他们在美国殖民和吞并墨西哥土地之前就居住在美国西南部。其他人则继续跨越墨西哥边境，寻找更好的工作。尽管墨西哥裔美国人在美国可能比在墨西哥拥有更好的机会，但他们的向上流动能力不如其他一些移民群体。他们高度城市化，通常从事低薪服务业或制造业工作，而雇主们正试图降低这些行业的劳动力成本，并排除工会。在南加州，如果将所有非法移民都算上，他们几乎占到总人口的一半。到2050年，预计拉美裔将占美国总人口的24%。参见：www.pewhispanic.org/2014/04/29/hispanic-nativity-shift/。

Many Mexican Americans are actually native to the United States, having occupied the Southwest before the American colonization and annexation of Mexican land occurred. Others have continued to enter across the Mexican border in search of better jobs. Although the opportunities may be better for them in the United States than in Mexico, Mexicans have not been as upwardly mobile as some other immigrant groups. They are highly urbanized and are generally employed in low-wage service or manufacturing jobs in which employers are attempting to keep labor costs down and unions out. In southern California, they make up almost half the population when all the illegals are counted in. By the year 2050, it is estimated that Latinos will constitute 24 percent of the nation’s total population. See: www.pewhispanic.org/2014/04/29/hispanic-nativity-shift/.

尽管波多黎各自1898年西班牙割让给美国以来，一直享有美国“附属自由州”的地位，但直到20世纪50年代，波多黎各人才开始大批涌入美国。（波多黎各于1952年成为一个联邦。）如今，近400万波多黎各人居住在美国，主要集中在东海岸的城市，尤其是纽约，以及中西部的大城市。

Although Puerto Rico has had the status of an “associated free state” of the United States since 1898, when the territory was ceded to the United States by Spain, Puerto Ricans did not begin to arrive in large numbers until the 1950s. (Puerto Rico became a Commonwealth in 1952.) Today, almost 4 million Puerto Ricans reside in the United States, concentrated mainly in the cities of the eastern seaboard, particularly New York, and in the large cities of the Midwest.

作为一个群体，波多黎各人在文化和种族上与墨西哥人截然不同，他们融合了以黑人为主的文化和西班牙文化。波多黎各人是美国经济状况最弱势的族群之一，其家庭收入中位数仅为全国平均水平的一半，贫困人口比例很高（28%）。在各项健康指标上，波多黎各人的表现都比墨西哥裔美国人或古巴裔美国人差；婴儿死亡率比墨西哥裔美国人高出50%，几乎是古巴裔的三倍。此外，贫困的附带影响——家庭破裂、单亲家庭、冷漠、失业——对波多黎各人的困扰比其他西班牙裔人更大。目前，国会中有三位议员是波多黎各裔。

As a group, Puerto Ricans are culturally and racially distinct from Mexicans, being a blend of predominantly black and Spanish cultures. Puerto Ricans are economically one of the most disadvantaged ethnic groups in the United States, with a median family income half the national average and a high percentage (28 percent) living in poverty. On every health indicator, Puerto Ricans fare worse than either Mexican Americans or Cubans; infant mortality is 50 percent higher than among Mexican Americans and nearly three times that of Cubans. Moreover, the secondary effects of poverty—family breakups, single parenthood, apathy, unemployment—afflict Puerto Ricans to a greater degree than they do other Hispanics. Currently, there are three members of Congress of Puerto Rican extraction.

大多数古巴人在菲德尔·卡斯特罗掌权后来到美国。他们与其他讲西班牙语的群体有很大不同；总体而言，他们的年龄更大，受教育程度也更高。原因是，第一批移民是由逃离古巴共产主义政权的专业人士组成的。他们几乎在抵达后就能立即将自己的技能、经验和专业知识运用到经济领域。他们的成功体现在他们的收入上，他们的收入高于其他讲西班牙语的群体。而1980年抵达的后一波移民似乎技能水平不及前一波。

Most Cubans came to the United States following Fidel Castro’s rise to power. They differ substantially from other Spanish-speaking groups; overall they are much older and better educated. The reason is that the first wave to enter this country consisted of professionals running away from the communist regime in Cuba. They were able to use their skills, experience, and expertise in the economy almost immediately following their arrival. Their success is reflected in their income, which is higher than that of other Spanish-speaking groups. A later wave of immigrants, who arrived in 1980, does not appear to be equally skilled.

大多数古巴人集中在佛罗里达州迈阿密（该市近500万人口中约60%为西班牙裔）。他们的经济成功和庞大的人口规模赋予了他们足够的政治影响力，足以选出一批古巴裔官员。奥巴马总统最近试图结束对古巴的制裁，并改变美国与古巴人民的关系，但许多古巴人对此并不满意。美国人，但最终这一改变应该能够让两国都满意。另请参阅：www.census.gov/newsroom/releases/img/racehispanic_graph.jpg。

Most Cubans are concentrated in Miami, Florida (whose metropolitan population of nearly 5 million is approximately 60 percent Hispanic), where their financial success and high numbers have given them political clout sufficient to elect a number of Cuban-born officials. The recent attempt of President Obama to end the embargo on Cuba and change the American relationship with the Cuban people is not to the liking of many Cuban Americans, but eventually the change should work to the satisfaction of both nations. See also: www.census.gov/newsroom/releases/img/racehispanic_graph.jpg.

少数民族和宗教少数群体

Ethnic and Religious Minorities

回顾过去一两代人，大多数美国家庭都能找到一位出生在“故乡”的祖先。因此，许多美国人都熟悉自己的族裔经历。

Looking a generation or two into the past, a majority of American families can find an ancestor who was born “in the old country.” Therefore, the ethnic experience is familiar to a great number of Americans.

当人们提到“族裔”时，通常理解为指20世纪初从南欧和东欧抵达的移民潮的后裔。许多社会学研究项目试图探究这些族裔对其祖先祖国的深厚情感。普遍共识是，在旧国家文化与新国家生活方式的较量中，新国家最终胜出。

When one refers to “ethnics,” the understanding is that one is speaking of the descendants of the waves of immigrants from southern and Eastern Europe who arrived in the early years of the twentieth century. A number of sociological research projects have attempted to probe the depth of feeling such ethnics have retained for their ancestors’ countries of origin. The consensus is that, in the battle of the culture of the old country and the lifestyle of the new, the new has won hands down.

对大多数美国人来说，种族和宗教或多或少已成为一种象征，而非真正的身份认同。此外，早期的种族和宗教具有排他性——你要么是犹太人，要么是爱尔兰天主教徒——而如今，它则具有包容性——无论你来自哪里，你都是美国人。根本的变化在于，美国白人认为自己的出身是相同的，而非差异性的，是普遍的，而非特定的。

Ethnicity and religion have become more or less symbols, rather than a real identity for most Americans. In addition, whereas earlier ethnicity and religion had an exclusive quality—you were either Jewish or Irish Catholic—today it is inclusive—you are American regardless of where exactly you came from. The fundamental change here is that white Americans think of themselves in terms of sameness rather than difference, of universal rather than particular origins.

天主教徒

Catholics

在影响少数族裔地位的三个因素中，宗教对这个社会的破坏性最小。美国主要由英国和其他西欧殖民者建立，直到1820年左右来自欧洲的新一波移民到来之前，一直是一个相对同质的新教社会。即使在那时，由于大多数移民也是新教徒，他们也相当成功地融入了白人新教徒（WASP）的多数群体。然而，在1860年至1920年间，移民来自中欧、东欧和南欧，他们不仅语言各异，宗教信仰也各不相同。

Of the three factors affecting minority status, religion has been the least destructive in this society. The United States, founded as it was primarily by English and other Western European settlers, remained a relatively homogeneous Protestant society until around 1820, when new waves of immigrants from Europe arrived. Even then, because most of the immigrants were also Protestants, they were fairly well absorbed into the WASP majority. Between 1860 and 1920, however, immigrants hailed from central, Eastern, and southern Europe and differed not only in language but also in religion.

自20世纪70年代以来，这些移民的后代被称为“白人族裔”。白人族裔珍视自己的美国公民身份和族裔出身，他们大多是天主教徒，约占美国人口的25%。直到20世纪中叶，占多数的新教徒仍然对天主教徒抱有极大的怀疑，认为他们对教皇的忠诚是对民主意识形态的背叛。尽管如此，天主教徒和天主教家庭仍然过得不错，例如1960年约翰·F·肯尼迪当选了一位天主教总统。一篇有趣的文章可以在以下网址找到：www.catholic.com/magazine/articles/the-church-and-the-native-americans。

The descendants of these immigrants have, since the 1970s, been dubbed as the “white ethnics.” White ethnics, who prize both their American citizenship and their ethnic origins, are predominantly Catholics and represent about 25 percent of the American population. The Protestant majority viewed Catholics with great suspicion until the middle of the twentieth century, attributing their loyalty to the Pope as a form of betrayal of the democratic ideology. Nonetheless, individual Catholics and Catholic families have fared well, as exemplified by the election of a Catholic president, John F. Kennedy, in 1960. An interesting article may be found at: www.catholic.com/magazine/articles/the-church-and-the-native-americans.

犹太裔美国人

Jewish Americans

美国犹太裔——美国约有650万犹太裔——从某种意义上来说，他们拥有与主流基督教社会截然不同的文化特征和宗教信仰，因此被称为“族群”。然而，尽管他们可能属于正统派、保守派或改革派犹太教，但只有46%的美国犹太成年人加入了犹太教堂。（少数哈西德派团体除外，他们的宗教信仰极其拘泥于字面意义，其成员的服饰也各不相同。哈西德派是少数群体中的少数群体。）许多成年犹太人并不积极参与宗教事务：犹太教对他们来说主要是一种身份认同的来源。

Jewish Americans—of whom there are approximately some 6.5 million in the United States—are ethnic in the sense that they share cultural traits and religious beliefs that are distinct from the mainstream Christian society. However, although they may be affiliated with the Orthodox, Conservative, or Reform branch of Judaism, only 46 percent of American-Jewish adults belong to a synagogue. (The exception consists of a number of Hasidic groups whose religious beliefs are extremely literal and whose members differ in the way they dress. The Hasidim represent a minority within a minority.) Many adult Jews are not very active in religious affairs: Judaism represents mainly a source of identification for them.

犹太人是世界各地历来遭受迫害的少数群体的典型代表。在二十世纪上半叶的美国，针对犹太人的偏见和歧视十分猖獗，他们被禁止进入某些社区、大学、私立学校和社交俱乐部（甚至一些度假胜地的酒店）。然而，反犹主义（即对犹太人的仇恨）在美国从未像在其他国家那样达到如此恶毒的程度。在二战期间被德国占领的欧洲，消灭犹太少数群体成为政府的首要任务，到战争结束时，欧洲已有六百万犹太人被杀害，这样的种族灭绝事件，我们希望永远不要重演。

The Jewish people are a classic example of a minority persecuted throughout the ages and throughout the world. In the United States, prejudice and discrimination against Jews were rampant in the first half of the twentieth century, as they were denied access to particular neighborhoods, universities, private schools, and social clubs (and even hotels in some vacation spots). However, anti-Semitism (meaning hatred of Jews) never acquired the virulent proportions in the United States that it did in some other countries. In German-occupied Europe, during World War II, the annihilation of the Jewish minority became a government priority, and by the end of the war 6 million Jews had been killed in Europe, an example of genocide that, it is hoped, will never be repeated.

总体而言，犹太人在教育和经济领域非常成功，大学毕业生占比很高（55% 的成年美国犹太裔拥有学士学位，25% 拥有研究生学位）。许多人都获得了高薪职位——60% 的就业犹太人从事三大最高地位的职业类别之一：专业/技术、管理和行政。由于他们受教育程度高、工作地位高，他们的家庭收入也很高。只有 5% 的犹太家庭（以及 9% 的 65 岁及以上犹太人）报告的收入低于联邦贫困线（www.ujc.org）。他们的经济成功使他们成为一些美国人的攻击目标，这些美国人嫉妒他们，使他们看不到犹太人成功的真正原因，并让不道德的公众人物用古老而虚假的阴谋论误导他们。此外，反犹太主义在许多欧洲国家卷土重来，针对犹太机构和个人的攻击频频发生。希望这种态度能够避免引发新的大屠杀。皮尤研究中心发表了一篇关于美国犹太人的文章，其中包含一些可能值得关注的图表：www.pewforum.org/2013/10/01/jewish-american-beliefs-attitudes-culture-survey。

In general, Jews have been very successful in the educational and economic spheres, being highly represented among college graduates (55 percent of adult Jewish Americans have a bachelor’s degree, and 25 percent have a graduate degree). Many have attained high-earning positions—60 percent of all employed Jews are in one of the three highest status job categories: professional/technical, management, and executive. As a result of their high education levels and high-status jobs, their household income is also high. Only 5 percent of Jewish households (and 9 percent of Jews 65 years old and over) report incomes that fall below the federal poverty line (www.ujc.org). Their economic success has made them targets of some Americans, whose envy has blinded them to the true reason for Jewish success and who allow unscrupulous public figures to mislead them with ancient and spurious conspiracy theories. Moreover, anti-Semitism is making a return in many European nations, with frequent attacks on Jewish institutions and persons. It is hoped that such attitudes can be prevented from creating a new Holocaust. The Pew Research Center presented an article on Jewish Americans that included graphs that may be of interest: www.pewforum.org/2013/10/01/jewish-american-beliefs-attitudes-culture-survey.

美国的新面貌

The New Face of America

未来几年，美国人口结构注定将发生巨大变化。尽管最初的移民潮在二十世纪初的二十年后停止，但移民潮在1965年恢复，更为自由的移民法加上有利的经济和政治因素，推动了移民数量的增长（自1986年以来，每年约有40万新移民进入美国，这还不包括非法移民，非法移民的数量估计超过700万，甚至可能高达1100万）。此外，移民的种族构成与前几波移民不同：只有一小部分人拥有欧洲血统，大多数是墨西哥人和拉丁美洲人，近一半来自亚洲各地。因此，人口统计学家预测，到2043年，白人人口将成为少数。原因是，白人的死亡人数首次超过出生人数，而西班牙裔、非裔美国人和亚裔的出生人数正在增加。到2060年，美国人口将达到4.203亿，其中少数族裔将占57%——目前他们占37%。届时，少数族裔人口将翻一番，亚裔人口将激增至3440万，占美国总人口的8.2%（美国人口普查局，人口预测项目，2012年）。

The makeup of the U.S. population is destined to change dramatically in the years ahead. Although the initial waves of immigrants stopped after the first two decades of the twentieth century, immigration resumed in 1965, and the more liberalized immigration laws, combined with favorable economic and political factors, have pushed immigration up (approximately 400,000 new immigrants have entered the country every year since 1986, not including illegal aliens, whose number is estimated at more than 7 million and perhaps as many as 11 million). Moreover, the ethnic composition of the immigrants differs from that of earlier waves: only a small percentage are of European ancestry, the majority are Mexican and Latin Americans, and almost half originate in various parts of Asia. As a consequence, demographers predict that by the year 2043, the white population will be a minority. The reason is that for the first time, deaths outnumber births for whites, while births for Hispanics, African Americans, and Asians are increasing. By 2060, the population will be 420.3 million, of which minorities will comprise 57 percent—currently they make up 37 percent. The minority population, then, will double, with the Asian population exploding at 34.4 million, or 8.2 percent of Americans (U.S. Bureau of the Census, Population Projections Program, 2012).

事实上，随着时间的推移，每一代人的种族和民族融合程度都比上一代更高。正因如此，人口普查局不得不新增“单一种族或与其他一个或多个种族混合”等类别。因此，人口研究中心的一项研究预测，黑人通婚率将大幅上升，到2100年，37%的非裔美国人将声称拥有混血血统，超过40%的亚裔美国人也将拥有类似的混血血统，而声称拥有混血血统的拉丁裔人数将是2010年的两倍多。自称属于单一种族或民族的人数（Rodriguez，2003，95）。届时，美国将焕然一新。

With the passing of time, in fact, each generation has become more racially and ethnically mixed than the preceding one. This is one reason that the Census Bureau had to add such categories as “Race alone or in combination with one or more other races.” A study by the Population Research Center, therefore, projects that the black intermarriage rate will increase so dramatically that by the year 2100, 37 percent of African Americans will claim mixed ancestry, more than 40 percent of Asian Americans will be similarly mixed, and the number of Latinos who will claim mixed ancestry will be more than twice the number claiming a single race or ethnicity (Rodriguez, 2003, 95). America, then, will have a new face.

冲突似乎是群体生活中不可或缺的一部分，尤其当多个文化或外貌迥异的群体共享同一领地时。在这种情况下，便会形成一种多数群体与少数群体的关系，少数群体被剥夺了平等享受社会福利的权利。少数群体的地位通常指那些在外貌和/或文化上与主流群体不同的群体，有时也指在宗教、性别、年龄和残疾方面与主流群体不同的群体。

Conflict seems to be an integral part of group life, especially when it involves a number of groups of dissimilar culture or appearance sharing the same territory. In such a situation, a majority–minorities relationship develops, in which minorities are denied equal access to the rewards of society. The status of minority is usually applied to groups that differ from the dominant group in appearance and/or culture, and sometimes also in religion, gender, age, and in being afflicted with disabilities.

基于所有这些因素，美国境内存在少数族裔。少数族裔一直是如今已被低估的种族主义意识形态以及偏见和歧视的受害者。种族主义源于对“种族”一词的错误理解，即认为一个群体的文化特征和行为是基因遗传的。实际上，科学家们曾使用“种族”一词来对近亲繁殖和杂交的人群进行非常广泛的区分，而如今他们已不再使用这个词。

The United States has minorities in its midst based on all these factors. Racial minorities have been the victims of the now discounted ideology of racism as well as of prejudice and discrimination. Racism is based on a faulty conception of the term race, whereby the cultural traits and the behavior of a group are thought to be genetically inherited. Actually, scientists used the word race to make very broad distinctions among populations that have inbred and interbred, and they no longer use the term.

与种族不同，族裔是指一个群体独特的社会因素，例如语言、宗教、价值观、信仰和饮食习惯。族裔群体是更大社会群体中的亚文化群体。这些群体由共同的民族起源或历史、强烈的群体归属感以及对共同命运的信念所维系。然而，大多数族裔群体已经融入美国社会，并认为自己主要是美国人。

In contrast to race, ethnicity refers to a group’s distinctive social factors such as language, religion, values, beliefs, and food habits. Ethnic groups are subcultures within the larger society. Such groups are maintained by common national origin or history, by a strong in-group feeling, and by the belief in a shared destiny. However, most ethnic groups have assimilated and feel themselves to be primarily Americans.

大多数少数群体都遭受过偏见和歧视。偏见是指对某个群体持有未经证实的信念，即使事实证明并非如此，他们仍然坚持这些信念。歧视则是基于这些信念，剥夺少数群体成员获取财富、权力和特权的平等机会。在各种歧视中，制度性歧视是最难消除的。然而，随着每个少数群体的社会经济地位逐渐接近主导群体，针对该少数群体的偏见和歧视似乎就会消失。只有在少数群体争夺稀缺工作岗位时，群体间冲突才会加剧。地位平等往往会导致群体间合作。

Most minorities have been subject to prejudice and discrimination. Prejudice is holding unproved beliefs about a group and retaining them even in the face of facts that prove the opposite. Discrimination is acting on such beliefs by denying members of a minority equal access to the sources of wealth, power, and privilege. Of the various kinds of discrimination, the institutional type is the most difficult to eliminate. However, it appears that as the socioeconomic status of each minority approaches equality with that of the dominant group, prejudice and discrimination against that minority disappear. The only situation in which conflict between groups is exacerbated is when the minority competes for scarce jobs. Equality of status tends to lead to cooperation among groups.

主流群体以各种方式对待其少数群体。盎格鲁顺从主义（在语言、价值观和信仰上变得与最初的英国新教定居者相似）和大熔炉主义（融合成新一代美国人）的意识形态，已经让位于文化多元主义的理想。在一个真正多元的社会中，各种族、宗教和民族群体保留着各自的文化，但又与多数群体和谐共处，并平等地享受社会的福祉。

Dominant groups deal with their minorities in a variety of ways. The ideologies of Anglo-conformity—becoming like the original English Protestant settlers in language, values, and beliefs—and of the melting pot—becoming amalgamated into a new breed of American—have given way to the ideal of cultural pluralism. In a truly pluralistic society, various racial, religious, and ethnic groups retain their culture but coexist in harmony with the majority and enjoy equal access to the rewards of the society.

美国长期以来一直是来自其他国家的移民的避风港，如今正致力于成为一个完全多元化的社会。目前，虽然一些少数族裔已被主流社会吸收，但其他一些少数族裔仍然保持着独特的身份，并依然遭受偏见和歧视。这些群体包括非裔美国人、西班牙裔美国人和美洲原住民。种族独特的亚裔美国人（华裔、日裔）通过教育和职业化实现了向上的社会流动。

The United States, having long been a haven for immigrants from other nations, is aspiring to become a fully pluralistic society. For the time being, while some of its minorities have been absorbed into the mainstream, others remain distinct and still subject to prejudice and discrimination. Among the latter groups are African Americans, Hispanics, and Native Americans. The racially distinct Asian Americans (Chinese, Japanese) have achieved upward social mobility through education and professionalization.

被描述为白人族群的群体包括19世纪移民的后裔。这些群体与构成主流群体的WASP（白人新教徒）差异巨大，以至于遭受了相当大的歧视。如今，许多人不再居住在少数族裔聚居区，而受过大学教育的年轻一代已融入主流社会。

The group described as white ethnics includes the descendants of nineteenth-century immigrants. These groups were sufficiently different from the WASPs making up the dominant group that they suffered considerable discrimination. Today, many no longer live in ethnic enclaves, and the younger, college-educated generation has entered the mainstream.

在宗教少数群体中，天主教徒和犹太人在二十世纪初以及建国后的最初几十年里遭受了偏见和歧视。这种敌意可能源于他们的种族出身——东方和南欧人——就像对待宗教一样。无论如何，这两个群体在社会经济方面都表现良好，都是收入最高的人群，并且跻身专业人士行列。

Among the religious minorities, Catholics and Jews were subject to prejudice and discrimination at the turn of the twentieth century and in its first several decades. The feelings of hostility may have been directed toward their ethnic origin—Eastern and southern European—as much as toward their religions. In any event, both groups have done well socioeconomically, being represented among the highest earners and in the ranks of professionals.

适应少数群体意识到多数群体的规范和价值观，接受并适应它们，但选择保留自己的规范和价值观，因此无法充分融入主流文化的情况。

accommodation A situation in which a minority is conscious of the norms and values of the majority, accepts and adapts to them, but chooses to retain its own, thus failing to participate fully in the host culture.

文化适应接受东道国文化（包括语言和习俗）的过程。

acculturation The process of adopting the culture, including the language and customs, of the host country.

融合不同种族、民族和文化群体之间通婚的结果，导致多数群体和少数群体之间的差异消失。

amalgamation The result of intermarriage between distinct racial, ethnic, and cultural groups, resulting in the erasure of differences between majority and minority groups.

盎格鲁顺从 大多数人曾经持有的一种态度，即应该保留英国的制度、语言和文化模式，并将 WASP 价值观强加于移民。

Anglo-conformity The attitude, once held by the majority group, that the institutions, language, and cultural patterns of England should be maintained and that WASP values be superimposed on immigrants.

同化少数群体被社会吸收或成为社会主导群体一部分的过程。

assimilation A process in which a minority group is absorbed into, or becomes part of, the dominant group in a society.

态度歧视 因个人偏见而对特定群体或该群体的个别成员产生的负面行为。

attitudinal discrimination Negative behavior against a particular group—or individual members of that group—prompted by personal prejudice.

文化多元主义 一种理想状态，其中每个民族、种族和宗教少数群体的文化独特性都会得到保留，但个别成员仍需效忠主流社会。

cultural pluralism An ideal condition in which the cultural distinctiveness of each ethnic, racial, and religious minority group would be maintained, but individual members would still owe allegiance to the mainstream society.

歧视由于偏见而采取的行动。

discrimination Actions taken as a result of prejudicial feelings.

少数民族 文化上与主流群体不同的群体。

ethnic minority A group that differs culturally from the dominant group.

种族一个群体的独特社会特征，而非生物特征。

ethnicity A group’s distinctive social, rather than biological, traits.

民族中心主义 认为自己的文化是正确的，而与之不同的文化模式是错误的态度。

ethnocentrism The attitude that one’s own culture is right and that cultural patterns different from it are wrong.

制度性歧视指 社会中除个人偏见外存在的一种不平等制度。偏见存在于社会层面，实际上，它是社会的一种规范。

institutional discrimination A system of inequalities existing in a society apart from individual prejudice. Prejudice exists on a societal level; in effect, it is a norm of the society.

大熔炉理论 认为，社会上各个种族和民族群体在文化和生物学上融合是可能的，也是可取的。

melting pot theory The belief that it is possible and desirable to culturally and biologically fuse all the various racial and ethnic groups in society.

少数群体： 指社会中因文化、种族、宗教、性别或年龄等原因而无法获得社会应有回报的群体。指无法完全获得社会上平等权力、声望和特权的一类人。

minority group Any group in society that is kept from attaining the rewards of society on the basis of culture, race, religion, sex, or age. A category of people who possess imperfect access to positions of equal power, prestige, and privilege in the society.

偏见基于刻板印象和传闻而非事实或证据而对个人或群体做出的预先判断，即使面对相反的证据也无法或不愿改变这种判断。

prejudice Prejudgment of an individual or group based on stereotypes and hearsay rather than on fact or evidence, and the inability or unwillingness to change that judgment even when confronted with evidence to the contrary.

种族根据某些基因在人群中出现的频率差异，对智人进行细分的一种任意方式。

race An arbitrary manner of subdividing the species Homo sapiens sapiens based on differences in the frequency with which some genes occur among populations.

少数种族 社会中的一个群体，其在肤色、发质、眼睛倾斜度、头部形状和尺寸等特征上与主流群体存在生物学差异。

racial minority A group within a society that differs biologically from the dominant group in such features as skin color, hair texture, eye slant, and head shape and dimensions.

种族主义 一种过去盛行但现在已被否定的意识形态，认为某些种族群体不如其他种族群体，他们不仅表现出身体上的差异，而且表现出行为上的差异，并且两者都是遗传的和不受欢迎的。

racism An ideology, prevalent in the past but now discounted, that some racial groups are inferior to others, that they display not only physical but also behavioral differences, and that both are inherited and undesirable.

替罪羊 一种加剧偏见的机制，指沮丧的个人倾向于对特定目标人群做出攻击性反应。

scapegoating A mechanism that fuels prejudice, a term referring to the tendency of frustrated individuals to respond with aggression toward a specific target population.

隔离试图将少数群体与多数群体隔离开来。

segregation An attempt to isolate a minority from the majority.

刻板印象 一种偏见，将共同的、统一的特征分配给整个类别的人，而不允许个体差异。

stereotyping A type of prejudice in which common, uniform characteristics are assigned to an entire category of people without allowing for individual differences.

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Harvey-Wingfield, Adia, and Joe R. Feagin. 2009. Yes We Can? White Racial Framing and the 2008 Presidential Campaign. New York: Routledge. A sociological analysis of the historic presidential election of the first African-American president.

Law, Ian。2009。《种族主义与族裔：全球辩论、困境与方向》。波士顿：培生出版社。本书涵盖了全球背景下种族主义与族裔的历史、理论和辩论。

Law, Ian. 2009. Racism and Ethnicity: Global Debates, Dilemmas, Directions. Boston: Pearson. A textbook that covers the history, theories, and debates held about racism and ethnicity in a global context.

处理少数民族问题的网站不计其数，无法在此一一列举。

There are innumerable Web sites dealing with minority issues. It is impossible to list them all here.

Minority Status: Age, Gender, and Sexuality

少数族裔地位：年龄、性别和性取向

在本章中，你将学习

IN THIS CHAPTER, YOU WILL LEARN

• 人们还因年龄、性别和性行为等固有特征而受到不平等对待；

• that people are also treated unequally on the basis of such ascribed characteristics as age, gender, and sexuality;

• 美国正在成为一个老龄人口比例不断增加的社会；

• that the United States is becoming a society with an increasing proportion of elderly people;

• 年龄歧视的存在和意义；

• of the existence and meaning of ageism;

• 妇女仍然受到不平等待遇；

• that women are still treated unequally;

• 我们如何获得性别角色；

• how we acquire gender roles;

• 为什么性别歧视是一种对男性和女性都有害的意识形态；以及

• why sexism is an ideology that is detrimental to both men and women; and

• 性取向也受到差别对待。

• that sexual orientation is also subject to differential treatment.

秒社会对其成员的区分不仅基于财富、权力和地位，不仅基于种族、民族和宗教，还基于年龄、性别和性取向。在每个社会中，每个年龄段和每个性别都被赋予不同的职责、责任、特权和角色。这种区分部分源于常识。在美国，年轻人16岁前不能开车，18岁前不能投票，30岁前不能竞选参议员。这些年龄限制是基于法律规定的，人们认为年纪轻轻就参与这些活动还不够成熟。在更非正式的层面上，一个70多岁的人几乎不可能被指派去建造一座30层高的办公楼；纵观人类历史，让女性负责参战保卫社会也从未被认为是合适的。女性在生育方面的生理角色使她们如此珍贵，以至于她们不应该在战争中牺牲。同样，禁止同性恋也可以被认为是基于社会的一种担忧，即如果性行为不严格遵循异性恋原则，就无法产生足够的新成员。换句话说，在某种程度上，年龄、性别和性取向的区分是基于对社会最有利的原则。然而，区分及其随之而来的阶层划分总是意味着不平等，而本章探讨的正是这一因素。

Societies differentiate among their members not only according to wealth, power, and status, not only according to race, ethnicity, and religion, but also according to age, gender, and sexual orientation. In every society, each age group and each gender is assigned different duties, responsibilities, privileges, and roles. Some of this differentiation is a result of common sense. In the United States, young people cannot drive before they are 16, they cannot vote before they are 18, and they cannot run for the Senate before they are 30. These age restrictions have been set by law on the basis of the belief that people are too immature to engage in these activities at younger ages. On a more informal basis, a person in his seventies would hardly be expected to work on the construction of a 30-1story office building, nor has it been thought fit, throughout human history, to have women in charge of protecting societies by going to war. Women’s biological role in reproduction made them too precious to be allowed to be killed in war. Similarly, prohibitions against homosexuality can also be thought of as based on a societal fear that not enough new members will be produced if sex is not strictly heterosexual. In other words, to a certain degree, age, gender, and sexuality differentiation is based on what works best for society. Still, differentiation and the consequent stratification always imply inequality, and it is this factor that this chapter examines.

老龄化社会

The Aging Society

2013年，老年人（65岁及以上）约占美国人口的13%。预计到2050年，这一数字将上升至9050万，届时每五人中就有一人年龄在65岁及以上。人口中的“高龄老人”群体（85岁及以上）的增长速度甚至更快。美国人口普查局预测，到2050年，这一数字将增长到近2100万。此外，2009年11月，百岁及以上老人约有104,754人，如果寿命继续大幅延长，预计这一数字还将快速增长（到2050年，美国百岁老人的数量预计将达到601,000人）。因此，老年人问题是每个人都关心的问题。由于医学、医疗保健和营养方面的进步，老年人确实正在变得更“年轻”，不仅因为他们的预期寿命比前几代人长得多，而且他们的健康状况也相当良好（图 9.1）。

The elderly—people aged 65 and older—constituted about 13 percent of the American population in the year 2013. This figure—41.4 million—is expected to rise to 90.5 million by 2050, when one in five people will be age 65 or older. The “old old” segment of the population—people 85 years and over—is growing at an even faster rate. The Census Bureau projects that this population could grow to nearly 21 million by 2050. Finally, in November 2009 there were about 104,754 persons age 100 or older, and their number is also projected to grow quickly, provided that the dramatic gains in longevity continue (by 2050, the projected number of centenarians in the United States will be 601,000). The problems of the elderly, then, are everyone’s concern. Because of advances in medicine, health care, and nutrition, the elderly are really becoming “younger” in the sense not only that they can expect to live much longer than previous generations but also that they can do so in reasonably good health (Figure 9.1).

年龄是一种先天特征，我们据此被赋予某种地位。然而，与性别这种永久不变的地位不同，年龄具有过渡性：我们不断变老，因此我们的实际年龄和随之而来的地位也在不断变化。在过渡的每个阶段，我们都必须适应与年龄相符的行为，而我们与阶层维度（即我们如何融入阶层体系）的关系也在不断变化。

Age is an ascribed characteristic according to which we are assigned a status. Unlike gender, however, which is a permanent status, age is transitional: we are constantly getting older, thus our chronological age and the consequent statuses change. At each stage of the transition, we must be socialized to age-appropriate behavior, and our relationship relative to the dimensions of stratification (how we fit into the stratification system) continually shifts.

我们认为老龄化和老年人是一个问题——这就是为什么老年人可以被视为少数群体——因为我们的社会无法或不愿为某些成员在特定年龄段提供令人满意的角色。原因在于工业和后工业社会倾向于贬低老年人的角色，而农业社会和其他前工业社会则赋予他们光荣而有声望的角色。（然而，并非所有人都是如此。北澳大利亚的提维人对待老年人非常残忍，他们甚至会活埋那些无法照顾自己的老妇人——只露出头部，让她们饿死。）

We view aging and the elderly as problematic—which is why the elderly can be considered a minority group—because our society is unable or unwilling to provide some of its members with satisfactory roles at certain ages. The reason is that industrial and postindustrial societies have tended to devalue the roles of the elderly, whereas the agrarian and other preindustrial societies assigned honorable and prestigious roles to them. (Not all of them, however. The Tiwi of North Australia used to treat their old quite brutally, going so far as to bury alive—with only their heads uncovered—old women who could not care for themselves and leaving them to starve to death.)

65岁及以上人口：1900年至2050年

Population Aged 65 and Over: 1900 to 2050

图 9.1

FIGURE 9.1

1900 年至 1940 年和 1960 年至 1980 年，美国人口普查局，1983 年；1950 年，美国人口普查局，1953 年；1990 年，美国人口普查局，1992 年；2000 年，美国人口普查局，2001 年；2010 年，美国人口普查局，2011 年；2020 年至 2050 年，美国人口普查局，2012 年；1900 年至 2010 年，十年一次的人口普查；2020 年至 2050 年，2012 年国家人口预测，中间系列www.census.gov/content/dam/Census/library/publications/2014/demo/p23-212.pdf

1900 to 1940, and 1960 to 1980, US Bureau of the Census, 1983; 1950, US Bureau of the Census, 1953; 1990, US Bureau of the Census, 1992; 2000, US Census Bureau, 2001; 2010, US Census Bureau, 2011; 2020 to 2050, US Census Bureau, 2012a; 1900 to 2010, decennial census; 2020 to 2050, 2012 National Population Projections, Middle series www.census.gov/content/dam/Census/library/publications/2014/demo/p23-212.pdf

理论框架

Theoretical Framework

社会老年学家——研究衰老过程对个人和社会影响的科学家——从多种理论框架的角度审视衰老问题。其中最著名的理论是脱离理论，该理论认为，老年人与社会之间存在着一种相互的退出过程。老年人意识到自身能力的下降和死亡的临近，因此自愿退出社会。而社会也会从老年人身上抽身，让年轻人接替他们原来的地位。如此一来，社会的稳定得以维持，社会角色得以平和地代代相传。现代化理论则认为，随着老年人所处社会的现代化程度不断提高，他们的地位也会下降。像美国这样的工业社会和后工业社会强调年轻人以及高技能职业的重要性，而老年人却尚未做好准备。因此，老年人的地位会下降。

Social gerontologists—scientists who study the aging process as it affects the individual and society—examine aging from the perspective of a number of theoretical frameworks. Among the best known, disengagement theory posits that there is a reciprocal process of withdrawal occurring between an aging individual and society. An elderly person willingly withdraws from society because of awareness of his or her diminished capacities and impending death. And society withdraws from the aging person to allow a younger person to occupy his or her former statuses. The society’s stability is thus maintained, and social roles are passed peacefully from one generation to the next. Modernization theory assumes that the status of older people declines as the society of which they are a part becomes more modern. Industrial and postindustrial societies like the United States stress youth and the importance of highly skilled occupations for which the elderly are not prepared. Hence, the elderly lose status.

活动理论与脱离理论截然相反，该理论认为，保持活跃的老年人，用需要与他人互动的新角色取代旧角色，能够最好地适应并最准备好接受最终导致死亡的身体变化。

Activity theory, the direct opposite of disengagement theory, maintains that the elderly person who remains active, replacing old roles with new ones that also require interaction with others, is best adjusted and most ready to accept the physical changes that lead eventually to death.

冲突视角与脱离理论和活动理论均不认同，它关注弱势老年人，强调政治和经济因素对他们的影响，迫使他们陷入依赖状态。冲突视角的延伸是交换理论，该理论认为老年人在美国社会中处于从属地位。他们缺乏使自己对他人有价值的社会和物质资源；因此，他们失去了社会地位（Dowd，1980a，1980b）。

Disagreeing with both disengagement and activity theories, the conflict perspective focuses on the disadvantaged elderly and stresses political and economic factors that impinge on them and force them into a condition of dependence. An extension of the conflict view is exchange theory, in which the elderly are seen as being in a subservient position in American society. They lack the social and material resources that would make them valuable to others; therefore, they lose status (Dowd, 1980a, 1980b).

日益壮大的少数群体。社会科学家也将老年人视为少数群体，因为他们无法平等地享受社会福利，并遭受偏见和歧视。此外，社会上还存在一种针对老年人的意识形态——年龄歧视。老年学专家会运用所有这些因素来审视社会中老年人的状况。

A Growing Minority. Social scientists also look at the elderly as a minority group because they have unequal access to the rewards of society and experience prejudice and discrimination. Moreover, a definite ideology directed against them, ageism, is easily discerned in the society. Specialists in gerontology use all these elements to examine the conditions of the elderly in society.

年龄歧视

Ageism

年龄歧视的意识形态，即使在日常对话中也很容易被提及，其本质是主张年轻人优于老年人。它为经济、政治和社会领域针对老年人的偏见和歧视提供了正当理由。

The ideology of ageism, whose existence can be readily picked up in even casual conversation, asserts, essentially, that the young are superior to the old. It provides the justification for prejudice and discrimination against the elderly in economic, political, and social areas.

无需费力就能发现社会上对老年人的偏见和歧视。首先，老年人的形象显而易见：他们满脸皱纹，头发花白或秃顶，许多人拄着拐杖步履蹒跚，或弯腰驼背。与大多数少数群体一样，他们被贴上了刻板印象：年迈、无所事事、贫穷、孤独、住在养老院和机构、对性生活没有兴趣或能力、墨守成规、难以改变、生活苦闷（Palmore，1977）。尽管这些刻板印象确实有一定事实依据，但大多数都可以被证明是错误的。

One need not go far to uncover evidence of prejudice and discrimination against the elderly in society. First, the elderly are highly visible: they are wrinkled, their hair is white or they are bald, and many walk haltingly with canes or stooped over. Like most minorities, they are stereotyped: as senile, unproductive, poor, lonely, living in nursing homes and institutions, having no interest in or capacity for sex, being set in their ways and unable to change, and feeling miserable (Palmore, 1977). Although these stereotypes have some basis in fact, they can be proved to be mostly false.

健康。 衰老，或称变老的过程，包括原发性衰老（一种始于生命早期并影响所有身体系统的生物过程）和继发性衰老（这不仅是自然衰老的结果，也是疾病、滥用和/或废用的结果）（Horn & Meer，1987，81）。原发性衰老影响所有人，速度、力量、耐力、感知和感觉最终都会衰退。这些障碍逐渐发展，通常直到八十多岁才会影响身体机能。大多数老年人至少患有一种慢性疾病，许多人甚至患有多种疾病。与年轻人相比，老年人患急性或短期疾病（例如普通感冒和传染病）的可能性较小，但患慢性或长期疾病（例如高血压、心脏病、关节炎、癌症或肺气肿）的可能性更大。此外，超过一半的老年人报告至少有一种残疾。残疾可能是身体上的，也可能是非身体上的，许多残疾是轻微的，但会随着年龄的增长而加重。奇怪的是，随着年龄的增长，医疗保健成本会降低，因为年龄最大的人（85 岁及以上）身体最健康，而且往往会因肺炎或多器官衰竭而迅速死亡（Angier，1995 年，B5）。

Health. Senescence, or the process of growing old, consists of primary aging, a biological process that starts early in life and affects all body systems, and secondary aging, which results not from natural aging alone but also from disease, abuse, and/or disuse (Horn & Meer, 1987, 81). Primary aging affects all persons, and speed, strength, endurance, perception, and sensation eventually decline. These difficulties develop gradually and usually do not affect functioning until the eighties. A majority of older persons have at least one chronic health condition, and many have multiple conditions. Compared to the young, the elderly are less likely to suffer from acute or short-term diseases, such as the common cold and infectious diseases, but are more likely to suffer from chronic or long-term diseases, such as hypertension, heart disease, arthritis, cancer, or emphysema. In addition, more than half of the older population report having at least one disability. Disabilities may be physical or nonphysical, and many are minor, but they increase in severity with age. Curiously, health-care costs decrease as a person ages because the oldest of old—those 85 and over—are fittest and tend to die rapidly of pneumonia or multiple-organ failure (Angier, 1995, B5).

图片 9.1老年人不必停止工作。帮助孩子完成学业对退休人员和孩子都有好处，退休人员仍然可以感受到自己的价值，而孩子则可以从中学习到对老年人不那么刻板的印象。

IMAGE 9.1 The elderly do not have to stop being productive. Helping children with schoolwork is beneficial for both the retired person, who can still feel useful, and for the child, who will obtain a less stereotypical view of an older person.

衰老，包括严重的记忆力丧失、思维混乱和推理能力丧失，并非衰老的自然结果。事实上，最多20%的80岁老人会出现此类疾病，而更多美国老年人仅表现出轻微的记忆力丧失。衰老症状可能由其他原因引起，包括药物反应。然而，约有540万美国人患有神经系统疾病，尤其是阿尔茨海默病，这是一种无法治愈的脑部疾病。阿尔茨海默病是美国第六大死亡原因。www.nia.nih.gov / alzheimers/publication/alzheimers-disease-fact-sheet 。

Senility, involving serious memory loss, confusion, and loss of the ability to reason, is not a natural consequence of aging. In fact, such disorders occur in at most 20 percent of 80-year-olds, while more elderly Americans show only mild loss of memory. The symptoms of senility may derive from other causes, including a reaction to drugs. However, about 5.4 million Americans do suffer from neurological diseases, particularly Alzheimer’s, an incurable disease of the brain. Alzheimer’s is the sixth leading cause of death in the United States. www.nia.nih.gov/alzheimers/publication/alzheimers-disease-fact-sheet.

很少有老年人因丧失行动能力而被送进养老院。2013年，330万65岁及以上的老年人住在养老院，85岁及以上的老年人中，七分之一住在养老院。由于男性比女性死亡更早，因此独居的女性多于男性。2010年，72%的男性与配偶同住，但只有42%的女性与配偶同住（美国卫生与公众服务部老龄管理局以及以下网站提供了大量关于老年人的信息：www.aoa.acl.gov/Aging__Statistics/Profile/2013/docs/2013/profile.pdf和www.agingstats.gov/aginstats.net）。www.cdc.gov/ aging/data/ ）。

Few of the elderly are incapacitated to the point of being relegated to nursing homes. In 2013, 3.3 million of the elderly—65 and older—lived in a nursing home, and one in seven of those 85 and older did. Because men die at younger ages than women, more women live alone than men. In 2010, 72 percent of men but only 42 percent of women lived with a spouse (a trove of information about the elderly is available on the U.S. Department of Health and Human Services, Administration on aging, as well as on the following Web sites: www.aoa.acl.gov/Aging__Statistics/Profile/2013/docs/2013/profile.pdf; and www.agingstats.gov/aginstats.net).www.cdc.gov/aging/data/).

2014年65岁以上人士的婚姻状况

Marital Status of Persons 65+, 2014

图9.2

Figure 9.2

美国人口普查局，《当前人口调查报告》，年度社会和经济补充调查，表A1。15岁及以上人群婚姻状况，来源，2014年。互联网数据发布于2015年1月。

U.S. Census Bureau, Current Population Survey, Annual Social and Economic Supplement, Table A1. Marital Status of People 15 Years and Over, Origin, 2014. Internet data release January 2015.

尽管 65 岁及以上人群的劳动力参与率一直在稳步下降，但从 20 世纪 90 年代开始，这一参与率开始上升——美国劳工部称之为“劳动力老龄化”。根据美国劳工统计局的数据，32.2% 的 65 至 69 岁美国人属于劳动力大军。与 20 年前的 21.32% 相比，老龄化趋势预计还将继续 ( www.blogs.census.gov/2014/06/30/older-workers-are-staying-longer-in-the-workforce/ )。男性就业率最初下降的原因之一是工业和后工业经济体需要高技能和受过良好教育的工人，这使得老年人与年轻工人相比处于劣势——他们的技能往往已经过时。年龄歧视也助长了老年工人不如年轻工人生产力的观念。事实上，尽管老年人的感知能力和反应速度有所下降，但他们的表现与年轻工人一样好，甚至更好。与年轻工人相比，老年人的产出往往更加稳定，工作跳槽频率更低，事故发生率更低，缺勤率也更低（Giniger、Dispenzieri & Eisenberg，1983）。1967年的《年龄歧视法》在一定程度上保护了老年工人，尤其是其中禁止70岁前强制退休的修正案。然而，2008年开始的经济衰退迫使许多人要么继续留在劳动力队伍中，要么提前退休（即在62岁退休），因为失业后，他们无法指望在同样年纪找到新工作，因为当时还有许多年轻人同样失业。

Although labor force participation of persons 65 and older had been decreasing steadily, beginning in the 1990s such participation began going up—the Labor Department calls it the “graying of the workforce.” According to the Bureau of Labor Statistics, 32.2 percent of Americans age 65 to 69 are in the labor force. This graying, which represents an increase from 21.32 percent 20 years ago, is projected to continue (www.blogs.census.gov/2014/06/30/older-workers-are-staying-longer-in-the-workforce/). One reason for the initial decline in employment for men is that industrial and postindustrial economies need highly skilled and educated workers, which places the elderly at a disadvantage with younger workers—their skills tend to be obsolete. Ageism also promotes the idea that older workers are not as productive as younger ones. In reality, although the elderly experience a decline in perception and reaction speed, they perform as well as—if not better than—younger workers. The elderly tend to be consistent in their output, change jobs less frequently, have fewer accidents, and have a lower absenteeism rate than younger workers (Giniger, Dispenzieri, & Eisenberg, 1983). The Age Discrimination Act of 1967 protects elderly workers to a certain extent, especially the amendment prohibiting forced retirement before the age of 70. The recession that began in 2008, however, has forced a number of people either to remain in the labor force for a longer time or to take early retirement—that is, at age 62—because having lost their job, they could not expect to get another one at their age when so many younger people were similarly unemployed.

对某些人来说，退休或许确实令人欣喜；但对另一些人来说，退休却可能让他们感到无用和可有可无，从而引发抑郁，严重的情况下甚至会渴望早逝。劳动者的社会地位越高，工作满意度就越高，提前退休的可能性就越小（Atchley，1982）。退休后，地位较高的劳动者也倾向于继续从事自己的职业。然而，关键在于退休期间的收入：如果收入充足，大多数人都会选择退休。

For some, retirement may indeed be welcome; for others, it may cause feelings of uselessness and of being dispensable, leading to depression, and in acute cases, to a wish for early death. The higher the social status of the worker, the higher the job satisfaction and the less likelihood of early retirement (Atchley, 1982). After retirement, higher-status workers also tend to continue to be involved in their professions. The bottom line, however, is the amount of income during retirement: if that is adequate, most persons choose to retire.

2013年收入分布百分比

Percent Distribution by Income: 2013

图 9.3

FIGURE 9.3

由于四舍五入，百分比加起来可能不等于 100。

Percentages may not add to 100 due to rounding.

美国人口普查局，《当前人口调查》，年度社会和经济补充报告。

U.S. Census Bureau, Current Population Survey, Annual Social and Economic Supplement.

老年人的生活方式

Lifestyles of the Elderly

尽管许多老年人——尤其是女性和少数族裔——生活拮据，但大多数人并不生活在贫困之中。2013年，65岁及以上老年人的家庭收入中位数为35,611美元，这是自2009年以来的首次增长。当年贫困老年人比例为9.5%，即350万人。参见：www.census.gov/content/dam/Census/library/publications/2014/demo/p60-249.pdf。

Although many elderly people—particularly women and minorities—are living in straitened circumstances, the majority do not live in poverty. In 2013, the median household income of persons 65 and over was $35,611, the first increase since 2009. The percent of seniors living in poverty that year was 9.5 percent—3.5 million. See: www.census.gov/content/dam/Census/library/publications/2014/demo/p60-249.pdf.

2012 年，老年人总收入的 38% 来自社会保障金。对于收入最低的五分之一的人来说，这些款项占总收入的 82.5%。然而，对于收入最高的五分之一的人来说，社会保障金仅占 16.1%。有趣但并不令人惊讶的是，阶级划分在老年时期最为明显，富裕的老年人在寿命、健康和享受美好生活方面远远优于贫困的老年人。在大多数国家，社会顶层阶级的人比底层阶级的人大约多活五年（在英国，差距为 15 年）。预期寿命存在差异，尤其是健康预期寿命。一方面，贫困老年人往往生活在犯罪猖獗且不友好的社区，导致他们感到孤立和孤独。另一方面，贫困老年人一般缺乏教育，并没有在职业生涯中从事专业工作。这种状况似乎会降低他们的记忆力和解谜能力：拥有大学学位的人在75岁时比50多岁时受教育程度低的人在这些方面表现更好。受教育程度最高的美国白人男性的死亡率比受教育程度最低的白人男性低约10%，而1990年至1997年期间，这一差距上升至70%（《经济学人》，2004，第7页）。受教育程度低的人往往也过着不健康的生活方式：他们吸烟、超重、不运动。

In 2012, 38 percent of the total income of the elderly consisted of Social Security payments. For those in the lowest quintile, these payments represented 82.5 percent of total income. For those in the highest income fifth, however, Social Security payments accounted for only 16.1 percent. Interestingly, but not surprisingly, class divisions are most distinct in old age, in the sense that the wealthier elderly are so much better off than the poorer ones in longevity and enjoyment of good health and the good life. In most countries, people in the top social class live around five years longer than those in the bottom class (in Britain, the difference is 15 years). There are differences in life expectancy, especially in healthy life expectancy. For one thing, the poor elderly tend to live in neighborhoods that are crime-ridden and unfriendly, leading to their isolation and loneliness. For another, the elderly poor generally lack much education and did not spend their working life in the professions. This condition appears to lower their ability to remember things and solve puzzles: people with university degrees do better at age 75 at those activities than people with little education in their fifties. Mortality rates for white American men with the highest levels of education were about 10 percent lower than for white men with the least education, and the difference in the period 1990–1997 rose to 70 percent (The Economist, 2004, 7). Those with little education also tend to live unhealthier lives: they smoke, are overweight, and do not exercise.

2007年的经济衰退也对老年人产生了负面影响，尤其是那些经济条件较差的老年人，尤其是居住在农村地区的老年人。许多农村地区正在经历人口流失，随之而来的是老年人所需的医疗服务甚至交通运输等服务的减少。许多农村老年人丧偶且独居；他们身体虚弱，但医疗服务却位于偏远的大城市；他们开车不方便，却又没有其他途径获得生活必需品。最后，对自身在社会等级制度（社会阶层体系）中地位的认知也很重要。那些自认为地位较低、无法掌控自己生活的人，比那些自认为地位较高、能够掌控自己生活的人健康状况更差。

The economic downturn of 2007 also had a negative impact on the elderly, particularly those financially weak, and especially those who live in rural areas. Many such areas have been experiencing a loss of population and, with it, services that the elderly need, such as medical care and even transportation. Many rural elderly are widowed and live alone; they are in frail health, but medical services are far, located in larger cities; and they have difficulty driving, yet have no other way of reaching necessities. Finally, the perception of where one is in the pecking order (the stratification system of the society) is also important. Those who rank themselves as being low in status and not in control of their lives suffer worse health than those who rank themselves higher and in control of their lives.

丧偶、死亡与临终。配偶，尤其是丈夫的去世，会带来孤独和其他负面后果。（寡妇的数量是鳏夫的五倍。）65岁以后，平均有68%的人口丧偶。男性往往更频繁地再婚，加入更多组织，认识更多退休前的朋友，更有可能拥有和驾驶汽车，收入也高于女性。然而，老年鳏夫的境况比女性更糟：他们死于心脏病、自杀等各种原因的可能性远高于老年女性。

Widowhood, Death, and Dying. Loneliness and other negative consequences follow the death of a spouse, particularly of a husband. (There are five times more widows than widowers.) After the age of 65, an average of 68 percent of the population is widowed. Men tend to remarry more often, are members of more organizations, know more people from their preretirement years, are more likely to own and drive a car, and have higher incomes than women. However, elderly widowers fare worse than women: they are much more likely to die from a number of causes, from heart attacks to suicide, than elderly women.

从历史上看，死亡一直被认为是人类生存的正常组成部分。由于缺乏卫生和疾病预防知识，加上自给自足的经济模式，狩猎采集社会和农业社会的死亡率都很高。直到工业社会发展成熟，死亡率才大幅下降。随着社会能够控制死亡——当然是在一定程度上——人们对死亡的态度也发生了变化。当死亡变得普遍，每个人都会经历它时，它被认为是一件稀松平常的事情。随着死亡变得越来越罕见，它往往与老年联系在一起，因为除非战争、疾病和事故，大多数死亡的人都是老年人。如今，如果死亡发生在生命周期中老年以外的任何时期，都会被认为是一件不寻常的事情。因此，它被赋予了一层非自然的色彩。而且，由于将生死解释为神圣计划一部分的宗教信仰在现代社会中的重要性已经下降，前几代人对死亡的接受程度已经让位于一种期待，即现代人类的奇迹医学将使我们永生。死亡不再是生命的自然终结；它是人们必须不惜一切代价去避免的，并被认为是生命的对立面。

Historically, death has been accepted as a normal part of human existence. Lack of knowledge regarding hygiene and disease prevention coupled with subsistence economies resulted in very high death rates in both hunting–gathering and agricultural societies. It was not until the industrial societies were well established that death rates plummeted. With the ability of societies to control death—to a certain extent, of course—came a change in attitude toward it. When death was common and was within the experience of everyone, it was considered an ordinary event. As it became rarer, it tended to become associated with old age because, barring wars, disease, and accidents, it was mostly the old who died. Today, death is considered an out-of-the-ordinary event if it occurs at any time in the life cycle except in old age. As a result, it has acquired an aura of unnaturalness. And because religious beliefs that explained life and death as part of a divine plan have declined in importance in modern societies, the acceptance with which former generations greeted death has given way to the expectation that the miracles of modern medicine will bring us immortality. Death is no longer the natural capping of life; it is to be avoided at all costs and is considered an antithesis to life.

这种对待死亡的态度，因死亡被排除在公众视野之外而更加强化。人们通常不再在家中，在亲朋好友的注视下离世；而是在医院和疗养院里离世，即使在那里，临终的病人也与那些预计康复的病人隔离开来。再加上许多老年人本来就与社会其他成员隔绝，结果就是，大多数人很少真正面对死亡，很少亲眼目睹一个人死去。

This attitude toward death is reinforced by the fact that death has been removed from public life. People typically no longer die at home, in full view of family and friends; instead, they die in hospitals and nursing homes, and even there, dying patients are isolated from those expected to recuperate. Coupled with the fact that many elderly people are isolated from the rest of society to begin with, the result is that the population at large has seldom faced death, in the sense of seeing a person die.

尽管老年人极力回避死亡，但他们似乎不像年轻人那样害怕死亡，尤其是在健康状况不佳、未来几乎无法恢复正常生活的情况下。老年人被社会化地接受死亡，因为他们更有可能在配偶和同龄人身上看到死亡。随着越来越多的美国人加入老年行列，死亡的概念可能会逐渐变得不那么刺痛。谈论死亡已经更容易被接受，许多老年人明确表示，如果人为延长生命意味着痛苦或孤独，而不是生活质量的提高，他们就不想这样做。在过去的二十年里，一些被称为临终关怀机构的机构——它们并不试图治愈病人，而是照顾临终者——如雨后春笋般涌现，试图帮助临终者度过死亡前的艰难时期。

Despite this strong avoidance of death, the elderly seem less afraid of it than younger people, particularly if their health is such that they see little chance of a normal lifestyle in their future. The elderly are socialized into accepting death because they are more likely to see it in their spouses and peers. As an increasing number of Americans join the ranks of the elderly, the idea of death is likely to lose some of its sting. It is already more acceptable to speak about death, and many of the elderly make it clear that they do not want to have their lives prolonged artificially if it means suffering or isolation rather than an improvement in the quality of life. During the past two decades, institutions called hospices—which do not attempt to cure but rather care for the dying—have sprung up to attempt to help the dying in the difficult period preceding death.

女性：性别差异

Women: Differentiation According to Gender

众所周知，人类分为两种性别：男性和女性，而人类的延续离不开男性和女性。然而，全球的男女之间似乎正处于战争状态，既没有赢家也没有输家，反而充满了冲突。在发达国家，强奸案频发，各种性骚扰、针对女性的家庭暴力以及其他各种歧视更是司空见惯。在发展中国家，尤其是在政治冲突愈演愈烈的国家，女性更是惨遭杀害：她们被剥夺了受教育的权利和最基本的人权，大规模强奸被用作战争武器，她们仍然被视为男性的动产或财产。我们究竟该如何应对两性之间的这种敌意？

It is clear to all that the human race comes in two genders, male and female, and that both are needed if that race is to continue to exist. Yet it seems that a state of war exists between men and women all over the globe, producing neither winners nor losers, but much conflict. In developed countries, a high incidence of rape, various varieties of sexual harassment, domestic violence directed at women, and many other types of discrimination are the order of the day. In developing nations, especially where political conflicts are raging, women are the victims of horror stories: they are denied education and the simplest human rights, rape on massive levels is used against them as a weapon of war, and they are still considered chattel or property of men. To what do we owe this enmity between the sexes?

正如我们在前两章中所见，社会赋予不同群体不平等的地位。在世界上大多数社会中，尤其是在家庭结构依然根深蒂固的父权社会中，女性（和儿童）通常处于劣势。人们可以理解为什么儿童在某种程度上应该从属于成年人：他们体质虚弱，缺乏生活经验和知识。但为什么是女性呢？男女之间的真正区别是什么？真的像畅销书里说的那样，“女人来自金星，男人来自火星”吗？为什么即使在我们这个性观念如此宽松、成年人之间自愿发生性行为也不受任何污名的社会，强奸仍然如此猖獗？

As we saw in the previous two chapters, societies assign unequal statuses to various segments of their population. Women (and children) have usually had an inferior status in most societies of the world, particularly where the family form has remained stubbornly patriarchal. One can understand why children should be somewhat subordinate to adults: they are physically weak and lack life experience and knowledge. But why women? What really differentiates men and women? Is it true that “Women are from Venus, Men are from Mars,” as a best-selling book would have it? Why is rape so prevalent a crime, even in our society, when sexual mores are so relaxed that there is no stigma attached to sex among consenting adults?

生物学事实

Biological Facts

人生来非男即女；因此，“男性”和“女性”是生物学术语，描述的是生物学事实。另一方面，“男性化”和“女性化”则是形容词，反映的是社会条件，即描述男性和女性在特定社会中的行为规范，以及他们如何看待自己和彼此。男性化是一种性别地位，是被赋予的，除非在特殊情况下，否则不会改变；女性化是一种性别角色，是被塑造的，因此会随着时间和地点的变化而变化。男性化属于生物学范畴，女性化属于文化范畴。但两者都受社会解读和影响，只有在分析时才能将其分开。事实上，生物学和文化是紧密交织的。

One is born either male or female; maleness and femaleness, then, are biological terms, descriptive of biological facts. Masculine and feminine, on the other hand, are adjectives reflecting social conditions, that is, descriptive of how males and females are expected to behave in a given society, and how they come to feel about themselves and each other. The first is a sex status, ascribed and not subject to change except in extraordinary circumstances; the second is a gender role, achieved and, thus, subject to change according to place and time. The first lies within the realm of biology, the second within that of culture, but both are subject to social interpretations and influences and can be detached from one another only for the sake of analysis. In reality, biology and culture are deeply intertwined.

男女之间的生物学差异大致可分为解剖学、遗传学和激素方面的差异。解剖学差异最为明显，因为它由两性的生理结构和外貌组成。这些差异包括身高、体重、体脂和毛发分布以及肌肉组织。这些特征被称为第二性征，它们可以连续地进行测量：也就是说，并非所有女性都比男性矮、轻、圆、毛发较少、肌肉较少，正如并非所有男性都比女性高、重、棱角分明、毛发较多、肌肉较多一样。事实上，最重要的解剖学差异在于男性和女性不同的生殖系统。女性的生殖系统使她们能够怀孕和生育。男性的生殖系统使他们能够使女性受孕。

The biological differences between men and women may be roughly divided into those that are of an anatomical, genetic, and hormonal nature. Anatomical differences are the most obvious, for they consist of the physical structure and appearance of the two sexes. These differences include height, weight, distribution of body fat and hair, and musculature. Such traits are called the secondary sex characteristics, and they may be measured on a continuum: that is, not every woman is shorter, lighter, more rounded, less hairy, and less muscular than a man, just as not every man is taller, heavier, more angular, more hairy, and more muscular than a woman. In fact, the most important anatomical difference lies in the distinct reproductive systems of males and females. The reproductive system of women allows them to become pregnant and give birth. The reproductive system of men allows them to impregnate women.

怀孕和哺乳迫使女性周期性地无法履行某些经济和社会职能，而男性的生育角色则随着怀孕而终结。这些事实产生了深远的社会影响。

Pregnancy and nursing force women to be unable periodically to perform certain economic and social functions, whereas the role of men in reproduction ends with impregnation. These facts have profound social consequences.

通过分析性染色体，我们可以发现基因差异。性染色体包含决定所有生物遗传的基因。所有人类都遗传了两条性染色体，一条来自母亲，一条来自父亲。女性遗传了两条 X 染色体（XX），男性遗传了一条 X 染色体和一条 Y 染色体（XY）。当带有 X 染色体的卵子与带有 Y 染色体的精子受精时，便生下男性（女性在其生育年龄期间每个月都会产生一个卵子，该卵子含有一条 X 染色体；男性则会生成精子，其中一半的 X 染色体遗传自母亲，另一半的 Y 染色体遗传自父亲）。染色体差异是否会影响男性和女性的性格、能力和行为，目前尚未得到科学证实。更多解释，请参阅：www.ghr.nlm.nih.gov/glossary=sexchromosomes；和www.biologyreference.com/Re-Se/Se-Chromosomes.html。

Genetic differences become apparent when analyzing the sex chromosomes, which contain the genes that determine heredity in all living creatures. All humans inherit two sex chromosomes, one from the mother and one from the father. Females inherit two X-chromosomes (XX), and males inherit one X-chromosome and one Y-chromosome (XY). A male is born when an ovum (egg) bearing the X-chromosome is fertilized by a sperm bearing a Y-chromosome (each month a female produces one ovum throughout her fertile years, which contains an X-chromosome; a male produces sperm, half of which is made up of X-chromosomes inherited from his mother and the other half of Y-chromosomes inherited from his father). Whether chromosomal differences influence the personalities, abilities, and behaviors of males and females has not yet been scientifically established. For further explanations, see: www.ghr.nlm.nih.gov/glossary=sexchromosomes; and www.biologyreference.com/Re-Se/Se-Chromosomes.html.

受精后约三个月，激素差异开始显现，并决定了两种性别的分化。在此之前，胎儿尚未分化成性别：它可能是男性，也可能是女性。激素是由体内腺体分泌到血液中的化学物质。激素的功能是刺激某些化学过程并抑制其他过程。参与性特征发育的激素包括雌激素和孕激素，由女性的卵巢产生，以及睾丸产生的睾酮和雄激素。男性和女性都会产生男性和女性性激素，但比例因性别而异。携带XY染色体的胎儿开始分泌睾酮，这种激素具有抑制女性特征发育的功能；因此，胎儿出生时为男性。到了青春期，性激素再次决定第二性特征的发育——它们会诱导男性胡须的生长和女性乳房的发育。因此，激素对身体发育至关重要，也影响人类的行为。动物实验表明，即使在雌性中，睾酮水平的升高也会导致攻击性行为和性欲的增强。对人类和其他哺乳动物体内存在的催产素的研究表明，它与满足感和对他人的善意息息相关。它还能刺激性唤起和性高潮，确保新妈妈哺育后代，并在分娩时促进子宫收缩。研究人员甚至认为，催产素是参与社会纽带形成的绝佳候选因子，并将其比作连接解剖学和行为学的桥梁（Angier，1991）。

Hormonal differences begin to be felt at about three months after fertilization and are responsible for the differentiation into the two genders. Up to this time, the fetus is sexually undifferentiated: it may become either a male or a female. Hormones are chemicals that are secreted into the bloodstream by glands located in the body. The function of hormones is to stimulate some chemical processes and inhibit others. The hormones involved in the development of sex characteristics are estrogen and progesterone, produced by the ovaries in females, and testosterone and androgens produced by the testes in males. Both males and females produce male and female sex hormones, but the proportion varies by gender. The fetus with the XY chromosomal formation begins to secrete testosterone, which has the function of inhibiting the development of female characteristics; hence, the fetus will be born a male. At puberty, it is again the sex hormones that determine the development of secondary sex characteristics—they induce the growth of beards in males and breasts in females. Hormones, then, are influential in physical development. They also affect human behavior. Animal experiments have shown that an increase of testosterone, even in females, produces an increase in aggressive behavior and sex drive. Research into the hormone oxytocin, present in humans and other mammals, shows that it is responsible for feelings of satisfaction and goodwill toward others. It also stimulates the sensations of sexual arousal and climax, ensures that new mothers nurture their young, and that the uterus contracts during childbirth. Researchers are going so far as to say that the hormone is an excellent candidate for involvement in the formation of social bonds, and they liken it to a bridge between anatomy and behavior (Angier, 1991).

其他研究人员也将男女之间的差异归因于激素因素，特别是在出生前，尤其是青春期时，激素的注入会影响大脑以性别特有的方式运作。男性更具攻击性，女性则更注重养育。这些结论基于动物实验，实验表明，注射了相当于睾酮激素的雌性，甚至在子宫内男性胎儿旁边发育的女性双胞胎，都表现出更强的攻击性，行为更像男性。然而，没有确凿的证据表明激素差异可以解释两性行为的差异。即使睾酮水平与攻击性行为之间存在相关性，也不可能证明其中存在因果关系。最多只能说两者之间存在关联 (Hoyenga & Hoyenga, 1979, 139)。更多信息，请访问www.users.rcn.com/jkimball.ma.ultranet/BiologyPages/S/SexHormones.html。

Other researchers also attribute the differences between men and women to hormonal causes, especially to the infusion of hormones at the proper moment—before birth, and especially at puberty—which influences the brain to behave in a gender-specific way—males with more aggression, females with more nurturance. These conclusions are based on animal experiments that show that females injected with the equivalent of the hormone testosterone—or even female twins who develop beside a male fetus in the womb—invariably exhibit more aggressiveness, acting more like males. Nonetheless, there is no conclusive evidence that hormonal differences explain differences in the behavior of the two sexes. Even where correlations between the level of testosterone and aggressive behavior exist, it is impossible to show a cause-and-effect relationship. At most, it may be said that there is an association between the two (Hoyenga & Hoyenga, 1979, 139). For more information, see www.users.rcn.com/jkimball.ma.ultranet/BiologyPages/S/SexHormones.html.

医学研究也表明，男性和女性的大脑功能存在差异。例如，研究人员发现，女性的语言等功能在大脑的左右半球分布更均匀，而男性的语言等功能则更多地集中在左半球。

Studies in medicine also point to evidence that male and female brains function differently. Researchers have discovered, for instance, that in women such functions as language are more evenly divided between the left and right halves of the brain, whereas in men they are much more localized in the left half.

文化差异

Cultural Differences

两性行为的差异显然并非完全由生物学因素造成。文化在其中扮演着重要的角色，尽管其影响不如社会学家和女权主义者最初认为的那么大。例如，研究人员Money和Erhardt（1972）的一项著名研究涉及一对同卵双胞胎男性，其中一人在一次悲惨的事故中在包皮环切术中被完全阉割。随后，双胞胎的父母被说服将这对双胞胎作为女性抚养。除了通过手术重建阴道外，直到青春期，父母对这名双胞胎没有进行任何干预，只是把“她”当作小女孩：母亲让她留长发，给她戴上发带，给她穿上带褶边的衣服。据研究人员称，很快，这个小女孩就表现出了我们社会对小女孩应有的行为举止：她比哥哥更爱整洁，更愿意帮忙做家务，并且要求得到娃娃和娃娃屋作为圣诞礼物。尽管双胞胎姐妹从生物学角度来说属于男性，但“她”在美国社会中的行为举止却与女性无异。不过，据观察，她在与同龄人玩游戏时往往扮演领导者的角色，而且有点假小子风。

The differences in behavior between the two sexes are obviously not due strictly to biological influences. Culture plays a significant part, although less so than was at first believed by social scientists and feminists. For instance, a well-known study by researchers Money and Erhardt (1972) involved a pair of identical twin males, one of whom, in a tragic accident, was totally castrated during circumcision. The parents of the twins were subsequently convinced to raise this twin as a female. Other than surgically constructing a vagina, nothing was done to the twin until puberty except that the parents treated “her” as a little girl: the mother let her hair grow long, adorned her with hair ribbons, and dressed her in frilly clothes. According to the researchers, soon the little girl was behaving as little girls are expected to behave in our society: she was neater than her brother, she was more willing to help with housework, and she requested dolls and a dollhouse as Christmas presents. Even though the twin was, biologically, a male, “she” acted as a female does in American society. However, it was observed that she tended to be a leader in games with peers and was rather a tomboy.

然而，故事的结局并非“从此她过上了幸福的生活”。事实上，一项后续研究描绘了一幅截然不同的画面。新的研究表明，这名女孩/男孩对她被指定的性别远不满意，反而拒绝了女性身份，并在14岁时选择以男性身份生活，并接受了大规模的生殖器重建手术，试图获得与他已失去的男性生殖器相似的外形。“尽管每个人都不断告诉他，他是个女孩，尽管他接受了女性激素治疗，但他的大脑仍然知道自己是男性。它拒绝接受这些说法”（Angier，1997，A10）。这名成年女孩/男孩（仅被称为“约翰”）及其父母的回忆是，他从未接受过女性身份。相反，他撕掉父母给他穿的裙子，拒绝玩洋娃娃，寻找男性朋友，模仿父亲刮胡子而不是母亲化妆，甚至尝试站着小便。他试图做出女性化的行为只是为了获得父母的认可。12岁时，他被注射了女性荷尔蒙，乳房开始发育，这让他变得尤为沮丧。14岁时，他威胁要自杀，没有朋友，非常沮丧。当父亲告诉他婴儿时期发生的事情时，“约翰”如释重负：“我第一次明白了一切，我明白了自己是谁，是什么。”（Angier，1997，A10）。简而言之，这个曾被认为是经典案例，阐明了养育和社会化对性别认同的重要性，如今却被彻底颠覆了。

The story, however, does not end with “and she lived happily ever after.” In fact, a follow-up study paints a totally different picture. New research shows that, far from being satisfied with her assigned gender, the girl/boy rejected the female identity and at 14 years of age chose to live as a man, undergoing extensive reconstructive surgery to attempt to attain a semblance of the male genitals he had lost. “Despite everyone telling him constantly that he was a girl, and despite his being treated with female hormones, his brain knew he was a male. It refused to take on what it was being told” (Angier, 1997, A10). The recollections of the adult girl/boy (identified only as “John”) and his parents were that he had never accepted a feminine identity. On the contrary, he had torn off the dresses in which his parents had dressed him, had refused dolls, had sought out male friends, had imitated his father shaving rather than his mother putting on makeup, and had even tried to urinate standing up. His attempts to engage in feminine behavior were made only to obtain parental approval. He became especially unhappy when, at age 12, he was given female hormones and began growing breasts. At age 14 he threatened suicide, being friendless and thoroughly unhappy. When told by his father what had happened to him as an infant, “John” was relieved to hear it: “For the first time everything made sense, and I understood who and what I was” (Angier, 1997, A10). In short, what had been considered a classic case illustrating the importance of nurture and socialization on gender identification was turned on its head.

尽管如此，文化的影响不容忽视。如果两性的行为严格基于生物学差异，那么在世界上所有社会，以及所有在某些情况下，男人和女人的行为会截然不同。但事实并非如此。跨文化证据表明，后天教育对行为的影响非常深远。人类学家玛格丽特·米德（1935）的一项经典研究基于对新几内亚三个前文字部落的分析，结果表明，男人可以按照人们认为女人的方式行事，反之亦然。例如，在米德研究的一个社会中，男人和女人都很温柔、情绪敏感、不争强好胜、缺乏攻击性。此外，男人和女人都负责照顾孩子。然而，在另一个部落中，男人和女人的性格类型都可以被描述为男性化；也就是说，男人和女人都具有攻击性和暴力倾向。女人不喜欢任何与母亲身份有关的事情，例如怀孕、哺乳和照顾孩子。她们尤其讨厌自己的女儿。最后，在第三个部落中，米德发现了男人和女人行为的巨大差异。然而，事与愿违，美国人认为男女“应该”的行为方式恰恰相反：女性专横跋扈、咄咄逼人，是家庭的经济支柱；男性则被动，照顾孩子、八卦，喜欢装扮自己。米德从分析中得出结论，不同社会的性别角色各不相同；也就是说，生为男性或女性的人并不一定总是按照其生理构造决定的方式行事。然而，米德从未宣称性别角色的可逆性，事实上，她试图纠正一些评论家对她的结论提出的错误假设——即女性可以被塑造成与男性完全一样的行为，反之亦然。

Nonetheless, the impact of culture cannot be discounted. If the behavior of the two sexes differed strictly on the basis of biology, then in all societies of the world, and in all instances, men and women would behave distinctly in the same ways. But they do not. Cross-cultural evidence indicates how deeply nurture can affect behavior. A classic study by anthropologist Margaret Mead (1935), who based her findings on an analysis of three preliterate tribes of New Guinea, revealed that men can act the way people think women do and vice versa. For instance, in one of the societies Mead studied, both men and women were gentle, emotionally responsive, noncompetitive, and lacking in aggression. In addition, both men and women were responsible for the care of children. In another tribe, however, both men and women had personality types that could be characterized as masculine; that is, both men and women were aggressive and violent. Women disliked anything connected with motherhood, such as pregnancy, nursing, and caring for their children. They were especially obnoxious to their daughters. Finally, in the third tribe, Mead found profound differences in the behavior of men and women. Contrary to expectations, however, each sex behaved in a manner that Americans would consider the opposite of how men and women “ought” to behave: women were domineering and aggressive and were the economic providers in the household; men were passive, took care of the children, engaged in gossip, and liked to adorn themselves. Mead concluded from her analysis that sex roles vary in different societies; that is, a person born either a male or a female does not necessarily and always act in ways determined by his or her biological makeup. However, Mead never proclaimed the reversibility of sex roles and, in fact, tried to correct the mistaken assumptions—that females can be made to act exactly like males and vice versa—that a number of commentators made about her conclusions.

另一项对六个社会进行的跨文化比较也表明，所有社会中的男孩都比女孩更具攻击性和暴力倾向，而女孩则更注重养育，情感上也更敏感，尤其是对儿童（Whiting，1963）。此类发现证实了长期以来的结论：战斗力和领导力主要与男性相关，男性更容易出现攻击性、性侵犯、滥交、同性恋、偷窥癖和其他形式的攻击性性行为（Ford & Beach，1951；Murdock，1957）。关于男性攻击性更强的结论似乎如此令人信服，以至于一位著名的人类学家直截了当地指出：“在所有已知的社会中，无论是自发的、非法的，还是有组织的、出于军事目的而批准的杀人暴力，绝大多数都是由男性实施的”（Konner，1988，34）。社会学家史蒂文·戈德堡 (Steven Goldberg) 在其著作《父权制的必然性》 (1977) 中支持了这一观点，戈德堡根据其研究认为：(a) 父权制是社会的普遍特征；(b) 男性扮演的角色比女性扮演的角色具有更高的地位；(c) 男性在男女关系中占主导地位 (Goldberg, 1989, 16–18)。

Another cross-cultural comparison of six societies also showed that in all of them boys were more aggressive and violent than girls, and girls were more nurturing and emotionally responsive, especially to children (Whiting, 1963). Findings such as this substantiate long-standing conclusions that fighting and leadership are associated predominantly with males and that males are more prone to aggressiveness, sexual attack, promiscuity, homosexuality, voyeurism, and other forms of aggressive sexual activity (Ford & Beach, 1951; Murdock, 1957). The conclusions regarding the greater aggressiveness of males seem to be so overwhelming that a well-known anthropologist was moved to state categorically: “In every known society, homicidal violence, whether spontaneous and outlawed or organized and sanctioned for military purposes, is committed overwhelmingly by men” (Konner, 1988, 34). This view is supported by the work of sociologist Steven Goldberg in The Inevitability of Patriarchy (1977), in which he maintains that according to his research: (a) patriarchy is a universal characteristic of societies; (b) roles performed by males are given higher status than those performed by females; and (c) men are dominant in male–female relationships (Goldberg, 1989, 16–18).

从这些相互矛盾的事实中，我们能得出什么结论？男女行为的差异是因为生理差异吗？还是因为他们在社会化过程中接受了不同的角色？简而言之，是什么让我们成为男人或女人？是先天还是后天？一如既往，这个问题无法简单地回答。两性之间确实存在生理差异，在某些方面差异甚至相当显著。然而，令人担忧的是这些差异在人类社会中产生的社会意义。

What conclusions can be drawn from these conflicting facts? Do men and women behave differently because they are biologically different? Or is it rather that they are socialized to accept different roles? In short, what makes us men or women? Nature or nurture? As usual, the issue cannot be answered simplistically. Biological differences between the sexes surely exist, in some areas to a significant extent. The concern, however, is the social significance that these differences acquire in human societies.

虽然生理性别（sex）和性别特征（gender）在日常用语中可以互换使用，但在社会科学中，这两个术语是有区别的。生理性别指的是一个人的生物学身份，而性别特征指的是社会习得的、与男性和女性相关的行为和文化期望。生理性别仅仅将我们标记为男性或女性，并决定我们是否拥有能够生育子女的生殖系统，或者是否拥有提供受孕所需物质的生殖系统。正如我们所见，这一生物学事实不足以确保我们成为男性或女性。女性特质（feminity）——作为女性——和男性特质（masculity）——作为男性——是文化概念。因此，它们在不同社会中存在差异，与特定的历史时期和地理环境息息相关，即使是同一社会的成员，对它们的学习和解读也会有所不同。也就是说为什么一些女性和男性获得了与其生理性别不符的性别认同，并试图通过手术和医疗手段改变后者。

Although sex and gender are used interchangeably in common parlance, in the social sciences the two terms are differentiated. Sex refers to a person’s biological identity, whereas gender refers to the socially learned behaviors and cultural expectations that attach to males and females. Sex merely marks us as male or female and determines whether we have a reproductive system that enables us to bear children or one that provides some of the material necessary to conceive them. As we have seen, this biological fact is not sufficient to ensure that we become men and women. Femininity—being a woman—and masculinity—being a man—are cultural concepts. Therefore, they differ from society to society, they are associated with specific historical eras and geographical settings, and they are learned and interpreted differently even by members of the same society. That is why some women and men, having acquired a sexual identity that does not correspond to their physical sex, attempt to change the latter by surgical and medical means.

性别的文化建构

The Cultural Construction of Gender

我们之前看到，文化为我们提供了一套剧本，我们基本上是按照它来组织我们的生活。我们对这套剧本习以为常，以至于我们——至少大多数人——完全相信自己在社会中行事的方式是正确的，也是唯一的。我们接受了一套我们很少费心去检验的假设，并逐渐相信它们就是应该指导和指引我们生活的“真理”。因此，我们常常对其他社会的行事方式感到畏缩。

We saw earlier that culture provides us with a script according to which we essentially organize our lives. We learn this script so well that we—at least, most of us—become absolutely convinced that the way we do things in our society is the right and only way to do them. We accept a set of assumptions that we seldom bother to examine, and we come to believe that they are the “truth” that should guide and direct our lives. We, therefore, often cringe at the way things are done in other societies.

传统性别角色

Traditional Gender Roles

我们通过扮演各种角色来度过人生。其中最重要的是性别角色。在我们的社会以及大多数其他社会中，赋予男性和女性的传统性别角色是：男性扮演工具性角色，女性扮演表达性角色。工具性角色强调理性、竞争性、攻击性和目标导向。表达性角色强调养育、情感和缔造和平。这种传统的角色划分假设男性和女性角色之间存在着两极分化，行为仿佛被划分为两极：一端是情感和养育，另一端是理性和攻击性。当然，实际上，每个性别都存在着巨大的差异，男性和女性的角色有无数的相似之处（并且，当需要或被认为需要时，相同的角色可能由男性或女性扮演）。

We live out our lives by fulfilling a variety of roles. Among the most important of such roles are gender roles. The traditional gender roles assigned to males and females in our society, as well as in most others, are the instrumental role for males and the expressive role for females. The instrumental role stresses rationality, competitiveness, aggression, and goal orientation. The expressive role emphasizes nurturing, emotion, and peace-making. Such traditional divisions of roles assume that there is a polarity between male and female roles, with behavior divided in two, as it were, and between opposite poles: emotion and nurturance at one end, reason and aggressiveness at the other. In reality, of course, there is a great deal of variety within each gender, and there are countless similarities in the roles of men and women (and the same roles may be filled by either men or women when the need arises or is perceived as arising).

由于生育了依赖她们生存的后代，女性发展出了与养育和照顾相关的情感和技能。这些情感和技能也延伸到了其他需要照顾的家庭成员，例如老人或残疾人。在农业社会占主导地位的时期，女性除了家务之外，还与男性一起承担一部分外出劳动。但当经济开始依赖工业时，男性成为了家庭外的主要经济支柱。这种情况主要发生在中产阶级，因为女性可以留在家中，从而扩大了她们的表达角色。于是，一种观念出现了，即女性应该为了他人的目标和愿望而牺牲自己的个人目标和愿望。工薪阶层女性承担了所有这些角色——她们必须外出工作，从事体力劳动或工业工作，并在家中履行照顾者的职责。这种传统的角色分工在工业时代得以明确，当时男性开始通过外出工作来发挥其工具性作用。

Because they give birth to the young who depend for their survival on them, women have developed emotions and skills consonant with nurturing and caregiving. These have extended to other family members in need of care, such as the elderly or disabled. When societies were predominantly agricultural, women did a share of work outside the house alongside the men, in addition to tasks inside the house. But when economies began to depend on industry, men became the chief breadwinners outside the home. This occurred mostly in the middle classes, in which women were able to stay at home, expanding the expressive role. The notion then emerged that women were expected to sacrifice their personal goals and desires in favor of those of others. Working-class women incorporated all these roles—they had to work outside the home, at menial or industrial jobs, and fulfill the caretaker functions at home. This traditional division of roles crystallized during the industrial age, when men began to perform their instrumental role through their work outside the home.

总体而言，传统角色，无论男性还是女性，在世界各国社会中都被奉为既定的文化模式，并逐渐被定型。在我们的社会中，当人们提到男性和女性的“典型”角色时，他们指的是过去白人中产阶级家庭所特有的角色。对其他群体的刻板印象则略有不同。

In general terms, traditional roles, both masculine and feminine, have been upheld as the expected cultural models throughout the societies of the world, becoming stereotyped in the process. In our society, when people refer to the “typical” roles of men and women, they mean those that, in the past, were characteristic of a white, middle-class family. The stereotypes for other groups vary somewhat.

性别脚本

Gender Scripts

性别角色，如同所有角色一样，都基于文化脚本。我们社会中的男性脚本有多种变体。传统的脚本包括远离任何女性化的东西（“娘娘腔”），并在职业和经济上取得成功。那些无法通过合法手段取得成功的人可能会采取一些亚文化方式，包括暴力和身体攻击，以及/或者摆出一副“酷”的姿态，这种姿态包括一种展现无所畏惧和情感超脱的着装和姿势。在一个被视为充满敌意和歧视的社会中，这种姿态被用作一种生存机制。另一种男性脚本是，人们期望男性自力更生、自信到“强悍”的程度。一种相当流行的脚本侧重于冒险，有时伴有暴力和羞辱对手的欲望。这种脚本期望男性在接触性运动中表现出色，永不放弃战斗，并在战争中杀死和致残敌人（做必须做的事情）。最后，最近出现了一种可选剧本，其中的“新”男性情感敏感、善于表达，重视与女性的平等关系。

Gender roles, like all roles, are based on cultural scripts. The masculine script in our society has several variations. The traditional script includes distancing oneself from anything feminine (“sissy”) and being occupationally and financially successful. Those who cannot achieve success through legitimate means may embrace some subcultural ways, including violence and physical aggression, and/or adopting a “cool” pose consisting of a manner of dress and posture that bespeaks fearlessness and emotional detachment. This pose is used as a survival mechanism in a society perceived as hostile and discriminatory. Another masculine script is one in which the expectation is for the man to be self-reliant and confident to the point of being “tough.” A fairly popular script focuses on adventure, sometimes accompanied by violence and a need to humiliate an opponent. This script expects men to excel in contact sports, never to walk away from a fight, and to kill and maim the enemy (do what must be done) in war. Finally, an optional script that has been emerging of late is one in which the “new” male is emotionally sensitive and expressive and values an egalitarian relationship with women.

图片 9.2尽管我们习惯于将女性视为护士，但近年来女性已经进入了以前几乎专属于男性的职业领域。

IMAGE 9.2 Although we are used to seeing women as nurses, of late women have entered professions that were formerly the almost exclusive province of men.

iStock：© francisblack

iStock: © francisblack

女性剧本基于这样的期望：女性除了要有爱心，还要有迷人的外表，不争强好胜，善于倾听而不是喋喋不休，并且能够适应各种情况。这种剧本规定，女性不应炫耀自己的才智，而应在旁支持、协助和鼓励丈夫（或男性）取得成就。女性被认为很幸运，生命中能有一位男性，而他的照顾以及孩子的任何需求，都应优先于她自己的需求。同样，其他种族的女性剧本可能略有不同，但其始终包含照顾孩子的主要责任。

Feminine scripts are based on the expectation that a woman, in addition to being nurturant, will be attractive in looks, not overly competitive, a listener rather than a talker, and capable of adapting to various circumstances. The script provides that a woman not show her intelligence but rather support, facilitate, and cheer on from the sidelines her husband’s (or man’s) accomplishments. She is considered lucky to have a man in her life, and his care, as well as any needs of their children, are to come before her own needs. Again, the script may differ somewhat for women in other ethnic groups, but it always includes primary responsibility for child care.

近年来，传统的女性剧本被推到一边，取而代之的是“职业女性”或“职业女性”的剧本。女性常常试图将传统剧本与职业女性剧本结合起来，创造出“女强人”的剧本。这种剧本很难塑造和维持，会给角色带来很大的压力。

In recent years the traditional feminine script has been pushed to the back, while the script of “professional” or “working woman” has emerged. Often, women try to combine the traditional script with the working woman script, producing the “superwoman” script. This script is very difficult to achieve and maintain, and it causes much role strain.

少数女性似乎遵循着“知足单身”的剧本，即职业女性似乎满足于不与男性建立关系的生活方式，尽管这可能意味着组建家庭（例如建立女同性恋关系）。最后，我们应该提到一个贯穿所有女性文化剧本的主题，那就是将女性划分为“好女孩/荡妇”。即使是小学生也知道这种区分，即性保守的女性和性活跃的女性。

A lesser number of women appear to follow a “contented single” script, in which a working woman seems satisfied with a lifestyle that does not include a relationship with a man, although it may involve the creation of a family (perhaps in a lesbian relationship). Finally, we should mention a theme that is woven through all the cultural scripts for women, and that is the division of women into “good girl/slut.” Even elementary school children are aware of this distinction attributed to females who are either sexually conservative or sexually active.

显而易见，性别脚本被认为是截然相反且相互排斥的：女性是一回事，男性又是另一回事。事实上，正如前文所述，男性和女性在所展现的特质上仅略有不同。这些特质中很大一部分是重叠的，无论是身体特征（例如身高）还是行为特征（例如攻击性）。此外，每个性别群体内部的差异比两性之间的差异更大。这种重叠特质模式的唯一例外似乎是支配性特质。

As is obvious, gender scripts are perceived as being opposite and mutually exclusive: women are one thing, men something else. In reality, as was already noted, men and women differ only slightly in the traits they display. A good portion of these traits overlap, and this is true of both physical traits (such as height, for instance) and behavioral traits (such as aggressiveness). Moreover, there are more differences within each gender group than between the two genders. The only exception to this pattern of overlapping traits seems to be dominance.

男性主导

Male Dominance

男性主导是世界上大多数社会的现实。就我们自身而言，尽管我们自认为是一个平等的社会，但在男女混合玩耍的场合，一群小男孩总会不由自主地霸占游乐场设备，除非成年人禁止他们这样做（Franklin，1988，30）。工作场所和军队中频频发生的性骚扰事件，也再次证明了这种主导地位。从制度层面来看，现实的观察足以说明男性在政治、经济、社会甚至宗教领域都占据着明显的主导地位。美国从未有过女总统，而第一夫人的鲜明个性和对政治的兴趣通常只会招致批评。

Male dominance is a fact of life in the majority of the world’s societies. In our own case, despite our belief that we are an egalitarian society, a group of little boys will invariably take over playground equipment in a situation of mixed-gender play, unless prohibited to do so by an adult (Franklin, 1988, 30). The many sexual harassment situations on jobs and in the military are another indication of such dominance. On an institutional level, a realistic look is sufficient to illustrate the clear prevalence of men in the political, economic, social, and even religious arenas. There has never been a female president of the United States, and strong personality and interest in politics by a first lady have generally brought her nothing but criticism.

至于工资平等，则从未实现。2012年，男性每挣1美元，女性就挣82美分。女性全职和兼职工薪阶层的时薪中位数为14.90美元，而男性则为17.79美元。非裔美国女性和西班牙裔女性的收入远低于男性。25岁以下的女性和男性收入大致相同，但年龄较大群体的女性收入远低于男性。更多详细数据可参见美国劳工部劳工统计局（2012年）。另见：www.pewsocialtrends.org/2013/12/11/on-pay-gap-millennial-women-near-parity-for-now/。

As for wage parity, it has never been achieved. In 2012, women earned approximately 82 cents for every one dollar men earned. Median hourly wages of female full-time and part-time wage and salary workers were $14.90 compared to $17.79 for their male counterparts. African-American and Hispanic women earned much less than their male counterparts. Women and men under 25 had fairly similar earnings, but women’s earnings were much lower than men’s in older age groups. Much more detailed data may be found at the U.S. Department of Labor, Bureau of Labor Statistics (2012). See also: www.pewsocialtrends.org/2013/12/11/on-pay-gap-millennial-women-near-parity-for-now/.

尽管如此，情况确实正在开始改变。在某些社会，这种变化迅速而剧烈。美国又如何呢？尽管美国对男婴的偏好从未像其他社会那样强烈，但男性主导地位无疑显而易见。然而，现在生育诊所的报告显示，美国对女婴的偏好明显增强，这似乎表明女性感到了赋权。尽管社会中大多数精英和权势地位仍然由男性占据，尽管育儿和家务仍然主要由女性承担，但受过大学教育的女性期望外出工作，可能比丈夫赚得更多，甚至可能拥有全职家庭主妇。一直以来不得不外出工作的工薪阶层女性，现在可以获得比男性更高的收入：她们可以从事护士、家庭保健助理、儿童保育、食品加工等工作，而工薪阶层男性则很难在建筑和制造业找到工作，因为这些行业已经衰落。 30年前，女性仅贡献了家庭收入的2%或3%，而如今，典型的职业女性贡献了家庭收入的42.2%，四成的母亲是家庭的主要经济支柱（Rosin，2010，70）。另请参阅：www.aauw.org/research/the-simple-truth-about-the-gender-pay-gap/，以及www.bls.govlopub/reports/cps/highlights-of-womens-earnings-in-2013.pdf。

Despite the preceding, things are definitely beginning to change. In some societies, the changes have been rapid and dramatic. What about the United States? Although the preference for male babies was never as strong here as in other societies, certainly male dominance was apparent. Now, however, fertility clinics are reporting that there is a definite preference for girl babies, which seems to be an indication that women feel empowered. Even though most of the elite and powerful positions in the society are still held by men, and even though child care and house care is still mainly in the hands of women, college-educated women expect to work outside the home, possibly earn more than their husbands, perhaps even have stay-at-home husbands. Working-class women, who have always had to work outside the home, now can bring in a higher income than the men in their lives: they can have employment as nurses, home health aides, in child care, in food preparation, and so on, while working-class men have difficulty getting jobs in construction and manufacturing, as these industries have faded. Thirty years ago, women contributed only 2 or 3 percent to the family income, whereas today the typical working wife brings in 42.2 percent of the household income, and four in ten mothers are the primary breadwinners in their families (Rosin, 2010, 70). See also: www.aauw.org/research/the-simple-truth-about-the-gender-pay-gap/, and www.bls.govlopub/reports/cps/highlights-of-womens-earnings-in-2013.pdf.

性别角色发展理论

Theories of Gender Role Development

性别角色为何以及如何在一个社会中出现？它们是如何深深植根于文化之中，最终融入我们的个性和行为的？这些问题目前尚无定论。我们只能参考一些曾试图解答这些问题的理论来进行推测。

Why and how do gender roles emerge in a society? How do they become so deeply embedded in the culture that they are eventually incorporated into our very personalities and behavior? Such questions cannot be answered with any degree of certainty. We can only speculate by referring to a number of theories that have been used in an attempt to answer them.

1985 年至 2012 年特定职业女性就业总人数的年平均值

Women as a Percentage of Total Employed in Selected Occupations, 1985–2012 Annual Averages

图 9.4

FIGURE 9.4

美国劳工统计局 (BLS)、当前人口调查 (CPS)/美国劳工部妇女局图表。

Bureau of Labor Statistics (BLS), Current Population Survey (CPS)/Graph by the Women’s Bureau, US Department of Labor.

结构功能主义理论。结构功能主义理论是社会学中最主要的理论之一。它认为，社会系统中保留的元素有助于该系统的生存。家庭制度中工具性角色和表达性角色的发展是一种专业化，发生在所有小群体中。这种专业化具有功能性，因为它既满足了社会需求，也满足了制度需求。一个稳固的家庭需要有人做出重要决定，也需要有人培养成员的情感健康。由于母子之间联系紧密，表达性角色更符合女性的天性；男性则自然而然地承担了工具性角色。

Structural Functionalist Theory. The structural functionalist theory is one of the most dominant ones in sociology. It assumes that those elements retained in a social system are ones that aid in the survival of that system. The development of the instrumental and expressive roles in the family institution is a kind of specialization that occurs within all small groups. Such specialization is functional because it meets social needs as well as institutional needs. A strong family needs someone to make important decisions and someone to foster the emotional well-being of members. Because of the close bond between mother and child, the expressive role is more consonant with a woman’s nature; the male acquires the instrumental role by default.

有人可能会批评这一理论，认为它假设男性主导、女性从属是自然而不可避免的，是基于生理构造的。然而，我们已经看到，研究并未证明这一假设的绝对正确性。

The critique that may be made of this theory is that it assumes that male dominance and female subordination are natural and inevitable, based on biological makeup. We have seen, however, that research does not prove the absolute truth of this assumption.

冲突理论。冲突理论是两种最流行的社会学理论中的另一种。该理论认为，权力和特权基于个人所拥有的资源。反过来，权力是影响或控制他人生活的能力，它也源于个人所能掌握的经济资源。卡尔·马克思的合著者弗里德里希·恩格斯在其著作《家庭、私有制和国家的起源》（1884/1902）中认为，男性在家庭中的主导地位是男性控制家庭经济资源的结果。他还坚持认为父权制的概念与财产的概念同步发展，因为如果财产要继承，那么男人必须知道妻子所生的孩子确实是他自己的。从这个意义上讲，简单社会更加平等，因为无需担心谁将继承什么——留给任何人的剩余财产非常少。对该理论的最新解读认为，即使在婚姻这样的关系中，收入、教育程度和职业地位更高的人也拥有更大的权力。而且，由于大多数男性倾向于娶年龄较小、教育程度较低、收入较低的女性，他们自然而然地成为了更有权势的一方。

Conflict Theory. Conflict theory is the other of the two most popular sociological theories. This theory assumes that power and privilege are based on the resources that an individual possesses. In turn, power is the ability to influence or control the lives of others, and it also derives from the economic resources that an individual can muster. Frederick Engels, Karl Marx’s coauthor, maintained in his book, The Origins of the Family, Private Property and the State (1884/1902), that male dominance in the family was the result of the male’s control over the family’s economic resources. He also insisted that the concept of patriarchy developed in tandem with that of property, because if property were to be inherited, it became important for a man to know that the children born to his wife were indeed his own. In this sense, simple societies were much more egalitarian because there was no need to worry about who was going to inherit what—there was precious little surplus to leave anyone. A more recent interpretation of the theory holds that those individuals who have a higher income, educational attainment, and occupational status have the greater power, even in a relationship such as marriage. And because most men tend to marry women who are younger, less well educated, and who earn less money, they naturally become the more powerful partner.

冲突理论也有其缺陷。它似乎过于强调经济因素，而对人际关系的其他方面，例如性、爱和陪伴，以及迫使女性在男性面前更加顺从的传统社会期望，关注度过低。尤其值得一提的是，它忽视了对行为产生巨大影响的性别角色和刻板印象。

Conflict theory has its shortcomings, also. There seems to be too much emphasis on economics and too little concern over other facets of relationships, such as sex, love, and companionship, as well as traditional societal expectations that would force women into a more submissive stance vis-à-vis men. In particular, gender roles and stereotypes, which have a tremendous impact on behavior, are ignored.

另一组理论关注的是文化中关于性别的观念如何融入个体的性格和行为模式。其中最具影响力的理论包括社会学习理论、认知发展理论和认同理论。关于性别社会化理论的更详尽讨论，可以在网上找到。

Another group of theories focuses on the way cultural ideas about gender become part of an individual’s personality and behavior patterns. Among the most influential theories are the social learning theory, the cognitive developmental theory, and the identification theory. A more ample discussion of the theories of gender socialization may be found on the Internet.

社会学习理论。社会学习理论基于行为主义的观点，认为学习包含观察、模仿和强化。根据这一观点，孩子们会观察父母、同龄人和其他人的各种行为。他们会模仿其中一些行为：如果他们因此得到了积极的强化——例如父母看起来很开心，朋友很认可，或者老师给了他们好成绩——他们就会继续这种行为。如果得到的是消极的强化——例如父母责骂，朋友嘲笑，老师管教——他们就会停止这种行为。性别角色的习得方式也是如此。如果一个小女孩穿上妈妈的裙子，对着镜子打扮，妈妈笑着说她看起来很漂亮，那么这个小女孩就会认为女性就应该打扮得漂漂亮亮。如果一个小男孩也这样做，而他的父亲皱着眉头告诉他，除非是娘娘腔，否则男孩不应该穿裙子，那么这个男孩就会意识到自己的行为不符合自己的性别。

The Social Learning Theory. The social learning theory is based on the behaviorist notion that learning consists of observation, imitation, and reinforcement. In this view, children observe all kinds of behavior on the part of parents, peers, and others. They imitate some of this behavior: if they receive positive reinforcement for it—if parents seem delighted, or their friends approve, or teachers give them good grades—they continue this behavior. If the reinforcement is negative—parents scold them, friends laugh at them, teachers discipline them—they discontinue the behavior. Gender roles are learned in the same way. If a little girl puts on her mother’s dress and primps in front of a mirror, and her mother smiles and says she looks pretty, the little girl assumes that females are supposed to dress up and look pretty. If a little boy does the same, and his father scowls and tells him that boys do not wear dresses unless they are sissies, then the boy realizes that his behavior is not proper for his gender.

性别角色的社会化始于早期。父母对男孩和女孩婴儿的反应不同，他们会更频繁地和女儿说话，抚摸女儿的频率也更高，对待女儿也更加细腻。父母选择的玩具和游戏种类，他们为孩子挑选的服装类型，他们自身的行为方式以及他们对性别的直接看法，甚至他们从事的工作——无论这些工作是否符合每个性别的传统——都向孩子传递着微妙的信息，告诉他们什么样的行为才适合每个性别。

Socialization into gender roles begins early. Parents respond to male and female infants differently, speaking more often to their daughters, whom they also touch more frequently and treat more delicately. The kinds of toys and games parents choose, the kinds of clothing they select for their children, the way they themselves behave and what they say directly about gender, even the jobs they hold—whether they are traditional for each gender or not—all offer subtle messages to their children regarding what is appropriate behavior for each gender.

的确，孩子们会观察并模仿父母、兄弟姐妹、同龄人以及大众媒体中人物的行为。他们会延续那些获得奖励的行为。但并非总是如此，也并非完全如此。首先，他们不仅会模仿同性父母，还会模仿父母双方。其次，他们并非仅仅是被动的个体，还会对接收到的信息做出反应。

Indeed, children observe and imitate the behavior of their parents, their siblings and peers, and characters encountered in the mass media. And they continue behavior that is rewarded. But not always, and not entirely. First, they do not imitate the same-sexed parent alone but both parents. Second, they are not merely passive entities but react to the messages they receive.

认知发展理论。根据认知发展理论，儿童学习性别角色取决于他们当时所处的认知发展阶段。反过来，认知发展是指个体在不同生理成熟阶段处理信息的方式（Piaget，1950，1954；Kohlberg，1969）。例如，即使两岁的孩子可能已经注意到存在两种性别，他们也不确定自己属于哪一种，也不知道这种性别是永久性的还是暂时性的（他们可能认为这取决于穿裙子的情况）或留长发）。儿童直到六七岁时才意识到性别的现实及其永久性。此时，他们会选择符合自身性别的行为，例如喜欢与同性玩伴玩耍和玩带有性别特征的玩具。他们认为性别是被严格定义的；直到他们更加成熟，才会意识到性别更加灵活，性别角色也存在某种程度的重叠（Vogel 等人，1991，605）。

Cognitive Development Theory. According to the cognitive development theory, children learn gender roles according to which stage of cognitive development they have reached at any point. Cognitive development, in turn, is the way information is processed by individuals at different stages of physical maturation (Piaget, 1950, 1954; Kohlberg, 1969). For instance, even though children at two years of age may have noticed that there are two genders, they are not sure to which one they belong, nor whether it is a permanent or a temporary condition (they may think that it depends on wearing dresses or having long hair). It is not until children are six or seven years old that they realize the reality of gender and its permanent nature. At this point, they proceed to select behavior befitting their gender, preferring to play with same-sexed playmates and sex-typed toys. They see gender as being rigidly defined; it is not until they are more mature that they perceive gender as more flexible and gender roles as somewhat overlapping (Vogel et al., 1991, 605).

儿童的性别角色观念的形成离不开文化的熏陶。在众多社会化因素（父母、兄弟姐妹、同龄人、老师、媒体）的帮助下，他们构建了社会学家所说的性别图式，即一系列被认为是特定性别核心特质的图式（Bem，1981、1983、1985）。这些图式会随着年龄的变化而变化：起初，它们非常具体——例如，只有女孩在头发上戴丝带，只有男孩打曲棍球。随着年龄的增长，这些图式变得更加抽象：男性不会表露情感，女性不会做出重要的决定。无论这些认知正确与否，它们都会影响个人的性别认同。

Children do not reach their ideas about gender roles without much input from the culture. With help from the numerous agents of socialization—parents, siblings, peers, teachers, the media—they construct what sociologists call gender schema, or a set of traits that are perceived as being central to a particular gender (Bem, 1981, 1983, 1985). These vary according to age: at first, they are quite concrete—only girls wear ribbons in their hair, only boys play hockey, for instance. With maturity, the schemas grow more abstract: men do not display emotions, women do not make the important decisions. Whether these perceptions are correct or incorrect, they contribute to the individual’s gender identity.

较新的理论试图将社会学习理论与认知发展理论结合起来，或至少指出各自的不足之处。例如，社会学习理论忽略了不同群体抚养子女的方式存在差异这一事实。而认知发展理论则假设儿童是被动的，忽视了儿童能够独立理解性别角色这一事实（Carroll，2009，97）。

Newer theories attempt to combine social learning theory and cognitive development theory, or at least to point out the weaknesses in each. For instance, the social learning theory ignores the fact that different groups raise their children in different ways. The cognitive development theory, on the other hand, assumes that the child is passive and neglects to consider that the child can figure out gender roles on his or her own (Carroll, 2009, 97).

认同理论。社会学家南希·乔多罗基于弗洛伊德的思想，认为无论男女，最初都会认同并发展出对其主要照顾者（通常是母亲）的强烈依恋（Chodorow, 1978）。对于女孩来说，日后的问题是与母亲分离，这可能会在青少年时期导致她们对母亲产生敌意和竞争感。对于男孩来说，问题在于如何实现从认同母亲到认同父亲的重大认同转变。这种转变通常发生在六七岁左右。事实上，无论是在农业社会还是传统的以手工艺为基础的社会，男孩在这个年龄段都会开始离开母亲，跟随父亲外出务农或学习一门手艺。为了成功地摆脱对母亲的认同，男孩必须拒绝与女性相关的活动。因此，在传统社会中，存在专门设计的成年礼，以纪念年轻男性从童年走向成年，从少年走向男子汉。这些转变随后通过加入纯男性组织而得到强化。在我们自己的社会中，尽管身份认同的转变并非如此剧烈，但年轻男孩普遍正在背离女性角色：他们组织“男孩俱乐部”，并享受与男性同行的露营和钓鱼之旅。此外，在当代社会，这种身份认同的转变更加困难，因为父亲们往往在一天中的大部分时间里都不在身边，无法提供现成的榜样。因此，年轻男性往往会接受刻板的性别角色，这种角色是由同龄人和媒体赋予的，往往与现实不符。这导致年轻男性担心自己是否充分履行了自己的角色，并试图通过刻板的男性角色模式来过度补偿。这解释了一些年轻男性，尤其是那些在文化图腾柱上地位较低的男性，试图通过加入帮派等方式向世界展现“男子气概”的形象。

Identification Theory. Building on Freudian ideas, sociologist Nancy Chodorow maintains that children of both genders initially identify and develop strong attachments to their primary caretaker, who is generally the mother (Chodorow, 1978). For girls, the problem later is the issue of separation from the mother, which may lead, during the teenage years, to hostility and feelings of competition with her. For boys, the issue is to make a dramatic identification shift from identification with the mother to identification with the father. This shift usually occurs by the age of six or seven. In fact, in both agricultural and traditional, craft-based societies, at this age boys begin to leave the mother, going out with the father to farm or learn a skill. To detach successfully from identifying with the mother, boys must reject activities associated with women. Hence, in traditional societies there are rites of passage designed specifically to mark a young man’s passage from childhood to adulthood and from boyhood to manhood. These changes are then reinforced by membership in exclusively male organizations. In our own society, although the change in identification does not occur so dramatically, there is a general turning away from the feminine role on the part of young boys: they organize “boys-only clubs,” as well as enjoying camping and fishing trips in male-only company. Moreover, in contemporary societies it is more difficult to make this switch in identity because fathers are often absent for most of the day and do not offer a ready model. As a result, the young male often accepts a stereotypical gender role, one offered by peers and the media and often not corresponding to reality. This leads the young male to be anxious about whether he is fulfilling his role adequately and to overcompensate by trying to fill a rigid mold of the masculine role. This is one explanation for the “macho” image that some young males, particularly those whose status on the cultural totem pole is low, attempt to present to the world, as for instance, by joining gangs.

性别社会化的推动者

Agents of Gender Socialization

应当明确的是，最直接参与塑造个人性别认同的人是与他们最亲近的人。因此，父母、兄弟姐妹、大家庭成员、同龄人、老师，以及如今尤其重要的大众媒体，在这一活动中扮演着最重要的角色。他们也是每一代新生代社会化的推动者（参见第五章）。

It should be clear that those most directly involved in creating gender identities for individuals are those closest to them. Therefore, parents, siblings, extended family members, peers, teachers, and today, especially, the mass media play the most significant roles in this activity. These are the same agents who socialize each new generation (see Chapter 5).

媒体。在维护性别刻板印象方面，媒体的影响力可能比其他任何社会因素都要大。电视和互联网上的社交媒体尤其如此，因为孩子们看电视和发短信的时间，比与父母、兄弟姐妹、其他家庭成员、老师和朋友互动的时间还要多。（随着智能手机短信的出现，孩子们可能比看电视的更多。但电视和电脑游戏仍然占据了儿童娱乐的很大一部分。）事实上，到高中毕业时，普通孩子看电视的时间比上课的时间还要多！电视具有巨大的教育价值——孩子们可以接触到各种各样的技能、说话方式和词汇、事实信息和情感。与此同时，媒体被认为是权威的，而孩子们还不够成熟，无法区分现实和幻想。许多情景喜剧中呈现的虚构生活描述，孩子们只是信以为真，这很不幸，因为它们几乎从未反映过现实。尤其是女性，她们几乎普遍从事高度专业的职业——医生、律师、报社记者——尽管她们很少真正工作。此外，她们总是美丽苗条，很少发脾气，即使在对老板强硬的时候也从未丢掉工作。尽管纪录片和新闻报道关注性别不平等、家庭暴力和性侵犯，但大多数黄金时段的节目仍然以男性为主，而且男性占据着更权威的地位，从而延续了传统的性别角色刻板印象。

The Media. The media have probably become more influential than any of the other socializing agents in maintaining gender stereotypes. In particular, it is television and the social media found on the Internet that have the impact because children spend more time watching and texting than they do interacting with parents, siblings and other family members, teachers, and friends. (With the advent of texting on smartphones, more children may be engaged in this activity than in watching TV. But television and computer games still represent a large percentage of children’s entertainment.) In fact, the average child will have watched more hours of television by high school graduation than she will have spent in class! Television has tremendous educational value—children can be exposed to a great variety of skills, speech patterns and vocabulary, factual information, and emotions. At the same time, the medium is perceived as being authoritative, and children are not sophisticated enough to distinguish reality from fantasy. Fictional accounts of life, as represented in many of the situation comedies, are taken at face value by children, which is unfortunate because they hardly ever reflect reality. Women, especially, are almost universally presented in highly professional occupations—doctors, lawyers, newspaper reporters—although they are seldom shown actually working. Moreover, they are always beautiful and thin, seldom lose their tempers, and never lose their jobs, even when they are assertive with bosses. Despite documentaries and news items focusing on gender inequality, family violence, and sexual assaults, most prime-time shows still show men more frequently than women and in more authoritative positions, thus persevering in the traditional gender role stereotype.

即使报道事实新闻，也往往更多地涉及男性，而当涉及女性时，则会包括女性的婚姻状况、年龄、身体特征，以及通常的穿着等信息——这些信息永远不会出现在男性身上。

Even when factual news stories are reported, they tend to be more frequently about men, and when they deal with women, they include such information as the woman’s marital status, her age, her physical attributes, and often what she is wearing—information that would never appear with regard to a man.

总而言之，报纸和杂志也重复着性别刻板印象。过去，每份日报都有专门针对女性的版块，讨论女性认为重要的议题，例如节俭养家的新食谱，以及让妻子和母亲保持美丽容貌的化妆品。如今，他们不再把这个版块称为“女性版块”，而是以“美食”或“时尚”的名义呈现同样的内容。有些杂志的目标读者群明确，有男性也有女性；《花花公子》、《阁楼》、《体育画报》、《绅士季刊》等都是针对男性的。《Vogue》等众多时尚杂志、《好管家》等数十种专门介绍烹饪和其他家务方面的杂志，则完全面向女性读者。

In Sum. Newspapers and magazines also repeat the gender stereotypes. In the past, every daily paper had a section dedicated to women, which dealt with issues thought to be important to women—new recipes for feeding the family thriftily and cosmetics to keep the wife and mother looking good. Today, they no longer call the section “for women,” but they present the same material in the guise of “food” or “fashion.” Some magazines are clearly addressed to either men or women; Playboy, Penthouse, Sports Illustrated, Gentlemen’s Quarterly, and others, are directed at men. Vogue and myriad other fashion magazines and Good Housekeeping and tens of other magazines dedicated to food preparation and other facets of housekeeping are intended strictly for female consumption.

我们一直在强调，性别刻板印象依然存在。然而，正因为我们承认男女之间存在着切实的差异，我们或许会思考性别角色刻板印象是否真的重要。不幸的是，这会对个人、家庭乃至整个社会产生影响，民意调查显示，许多人认为美国男性的生活质量高于女性，这证实了这一点。尽管性别角色发生了巨大的变化——从一种性别从属于另一种性别的等级制度，转变为两种性别都扮演着工具性角色和表现性角色的雌雄同体制度——但性别期望仍然限制着女性的生活方式选择。尽管约有60%的适龄女性已经就业，但人们仍然认为女性最重要的角色是妻子和母亲。选择单一生活方式的女性常常被批评为破坏“家庭价值观”的激进分子。然而在当今的经济条件下，所有成年人都必须工作，因此大多数女性必须兼顾婚姻、母亲身份和事业——或者仅仅是一份工作。

We have been making the point that gender stereotypes are alive and well. Because we do acknowledge the very real differences between men and women, however, we might wonder whether it matters that gender roles are stereotyped. Unfortunately, there are consequences for individuals, families, and the society at large, a fact supported by polls showing that many people feel men in the United States enjoy a better quality of life than women. Although gender roles have undergone a dramatic change—from a hierarchical arrangement in which one sex was subordinated to the other to an androgynous arrangement in which both sexes fill both the instrumental and the expressive roles—gender expectations still limit a woman’s lifestyle choices. Despite the fact that about 60 percent of women of working age are in the workforce, it is still expected that a woman’s most important role is that of wife and mother. Women who choose a single lifestyle are often criticized as radicals who are undermining “family values.” Yet in today’s economy, it is necessary for all adults to work, so that most women must combine marriage, motherhood, and a career—or simply a job.

事实上，兼顾工作外的生活和照顾孩子家庭并非易事。即使配偶愿意承担相当一部分任务，也很难将时间分配得让所有人和每件事都满意。尽管研究表明，男性在育儿和养育子女方面投入的时间更多，但大多数情况下，家务仍然是女性的责任，男性负责汽车保养和修剪草坪。简而言之，尽管性别角色的灵活性更高，但性别刻板印象仍然束缚着男性和女性。对女性而言，除了同时扮演多个角色本身就很困难之外，这些限制还表现为自尊心低下和精神疾病发病率高。女性患重度抑郁症的几率是男性的两倍（CDC/NCHS，全国健康和营养检查调查，2008 年；www.healthline.com/health/depression/statistics#2）。

Indeed, combining outside work and the care of children and family is a difficult enterprise. Even where spouses are willing to take on a fair share of tasks, it is hard to divide one’s time in such a way that everything and everybody are satisfied. Although research shows that men are spending more time in childcare and nurturing activities, in most cases housework is still the woman’s responsibility, with men taking on automobile maintenance and lawn-mowing duties. In short, despite a greater flexibility in gender roles, gender stereotypes continue to constrain both men and women. For women, the constraints—in addition to the sheer difficulty of managing several roles at once—take the form of low self-esteem and a high incidence of mental illness. Women suffer double the rate of major depression as men (CDC/NCHS, National Health and Nutrition Examination Survey, 2008; www.healthline.com/health/depression/statistics#2).

女性感到自卑的另一个例子是，她们中的大多数人都在努力不断改善自己的外表。尽管女性在追求和实现事业目标、推迟结婚生子以及拥有更加平等的婚姻方面取得了进步，但她们似乎已经内化了对美丽和女性气质的墨守成规的文化期望。每本女性杂志（包括那些面向少女的杂志）都刊登了一篇又一篇关于如何塑造完美大腿、腹肌和臀肌的文章，除了饮食和运动之外，还讨论了何时进行整形手术。整形手术曾经是富人和老年人的专属，如今，当女性出现第一道皱纹时——也就是三十多岁——就会被建议去做。

Another example of women’s feelings of inadequacy is the efforts a large majority of them expend to constantly improve their appearance. Despite the advances women have made in aiming for and achieving careers, delaying marriage and motherhood, and having more egalitarian marriages, they seem to have internalized conformist cultural expectations of beauty and femininity. Every women’s magazine (including those written for teenage girls) has article after article about perfecting the size of her thighs, abs, and glutes, and beyond diet and exercise, when to undergo plastic surgery. Cosmetic surgery, once the province of the rich and the old, is now suggested to women at the appearance of their first wrinkle—that is, in their thirties.

男性也难以适应性别刻板印象。并非所有男性都能胜任工具性角色，尤其是在这种角色需要自信甚至进取的时候。此外，养家糊口并非易事，尤其是在经济低迷时期，或者对于那些缺乏市场技能的人来说更是如此。部分由于这种困境，我们看到许多男性离家出走，或对子女抚养不力。他们又或者用“大男子主义”的角色取代养家糊口的角色，养育了一大堆他们并不关心的孩子，行为失常，最终锒铛入狱。

Men, too, experience difficulty with gender stereotyping. Not all men are comfortable fulfilling the instrumental role, especially when that role requires assertiveness or even aggressiveness. Moreover, the role of breadwinner is not easy, particularly in times of economic downturn or for individuals who lack marketable skills. Partly as a result of this difficulty, we see many men walking away from their families or being delinquent in supporting their children. Or they substitute the role of breadwinner for one of “macho man,” fathering a number of children for whom they do not care and behaving in a deviant manner that eventually leads to prison.

图片 9.3西方社会期望女性永远保持年轻、苗条、光彩照人。因此，整容手术盛行——从肉毒杆菌注射到抽脂——但有时也会带来非常负面的后果，甚至导致死亡。

IMAGE 9.3 Women in Western societies are expected to look forever young, thin, and glamorous. As a result, cosmetic surgery is flourishing—anything from Botox injections to liposuction—but it sometimes has very negative results, including death.

iStock：© SolStock

iStock: © SolStock

对某些形式的性行为的歧视

Discrimination Against Some Forms of Sexuality

虽然我们认同，由于繁衍后代的生物学本能，我们都是性动物，但我们不太认同性行为有多种方式的说法。这些方式是我们文化习得的元素。换句话说，正是我们特定的文化告诉我们，如何、与谁、在什么情况下以及在何处进行性行为才是合适的。在大多数西方社会——事实上，在世界上大多数社会——异性恋、父权模式一直是最常见的文化脚本。

Although we agree that we are all sexual beings because of the biological imperative to reproduce the species, we are less in agreement with the statement that there are many ways of being sexual. These ways are elements of our cultural learning. In other words, it is our particular culture that tells us how, with whom, under what circumstances, and where it is proper to have sex. In most Western societies—in fact, in most societies of the world—a heterosexual, patriarchal pattern has been the most common cultural script.

如果生育是我们性行为的首要目标，那么它就需要男女之间的性关系。然而，并非所有人天生就对异性有吸引力。有些人更喜欢与同性发生性关系。另一些人天生拥有某种性别的生理特征，却觉得自己属于另一种性别。在大多数社会中，这类人遭受歧视，有时甚至面临死亡的威胁。

If reproduction is the primary goal of our sexuality, it requires relationships between males and females. However, not all individuals are born with an attraction to the opposite sex. Some individuals prefer sexual relations with members of their own gender. Others are born with the physical equipment of one gender, but feel themselves to belong to the other gender. Such persons have been discriminated against, sometimes to the point of death, in most societies.

同性恋

Homosexuality

尽管同性恋自古以来就存在，但大多数时候都被迫隐匿。直到最近，我们社会以及其他一些国家才将同性恋视为一项权利，并禁止歧视同性恋者。同性恋者的地位迅速而显著地发生了转变。如今，同性恋者已经公开露面，并有许多组织致力于维护其权利，防止歧视。二战前，社会普遍认为异性恋（男女之间的性行为）是唯一“正常”的性表达形式。同性恋表达被污名化，大多数美国人都存在恐同症，这意味着他们害怕与同性恋联系在一起，并经常以暴力表达对同性恋者的仇恨。这种态度至今仍然存在，但同性恋者（他们更喜欢在男性时被称为“男同性恋”，在女性时被称为“女同性恋”）已成为少数群体权利的倡导者。因此，他们不仅变得引人注目，而且在政治上也十分活跃，并成功地说服了很大一部分美国人，异性恋不必是唯一的性表达形式（Kaiser，1997）。

Although homosexuality has been known to exist throughout history, it had been forced to live underground most of the time. Only recently has our society, and a few others, accepted homosexuality as a right and prohibited discrimination against individuals who practice it. Homosexuals have transformed their status rapidly and dramatically. Today, homosexuals are out in the open and have a number of organizations that work to secure their rights and prevent discrimination. Before World War II, the societal attitude was that heterosexual sex (that between men and women) was the only “normal” form of sexual expression. Homosexual expression was stigmatized, and the majority of Americans practiced homophobia, meaning that they feared and dreaded being associated with homosexuality, and often acted on their hatred of homosexuals with violence. This attitude still exists, but homosexuals, who prefer to be referred to as “gays” when male and as “lesbians” when female, have become advocates for their rights as a minority group. As such, they have become not only visible but also politically active and have succeeded in convincing a large portion of Americans that heterosexuality need not be the only form of sexual expression (Kaiser, 1997).

普遍的共识是，我们生来就有一种性取向，驱使我们去寻找异性、同性或两种性别。1974年，美国精神病学协会正式将同性恋从精神疾病名单中剔除。科学家们发现，同性恋行为并非人类独有：最新研究表明，“从火烈鸟到野牛，从甲虫到孔雀鱼，再到疣猪，超过450种不同的动物都存在同性性行为”（Mooallem，2010，31）。

The general consensus is that we are born with a sexual orientation that impels us to search out the opposite sex, the same sex, or both sexes. In 1974 the American Psychiatric Association officially took homosexuality off the mental illness list. Scientists are finding that homosexual behavior is not limited to humans: the most recent research has shown that same-sex sexual activity has been observed “in more than 450 different species of animals, from flamingos to bison to beetles to guppies to warthogs” (Mooallem, 2010, 31).

同性恋人口占比究竟有多大，这一直是一个疑问。首先，调查显示并非所有人都承认自己是同性恋。其次，一些同性恋行为只是偶发的——或许是青少年时期的性尝试。金赛、波默罗伊和马丁（1948）曾报告称，约有10%的人口是同性恋，但当代一些社会科学家开发了更精确的样本，得出结论：约有880万人是男同性恋、女同性恋和双性恋，约占18至45岁自认为是男同性恋或双性恋的人群的4%（Gates，2006）。

What proportion of the population is homosexual has remained questionable. First, not everyone admits to it in surveys. Second, some homosexual behavior is only episodic in nature—perhaps in the form of teenage experimentation. Kinsey, Pomeroy, and Martin (1948) had reported that about 10 percent of the population was homosexual, but a group of contemporary social scientists has developed more accurate samples, and they conclude that about 8.8 million persons are gay, lesbian, and bisexual, or about 4 percent of 18- to 45-year-olds who identify themselves as gay or bisexual (Gates, 2006).

尽管目前公众对这种生活方式的包容度有所提升，但“攻击同性恋”的情况仍然存在，恐同情绪在许多美国人中普遍存在。一个研究小组发现，“我们发现，LGBT（女同性恋、男同性恋、双性恋、跨性别者）的身份和行为被严重低估，反同性恋情绪也未被充分报道……即使在匿名且非常私密的情况下也是如此”（Coffman, Coffman, & Marzilli Ericson, 2013）。关于对同性恋的态度，23% 的人认为不应合法承认同性婚姻，25% 的人反对将招聘歧视同性恋定为非法，19% 的人反对同性恋者收养子女，15% 的人认为同性恋者可以改变性取向（Morin, 2013）。然而，这项民意调查并非随机抽样；受访者往往年轻、受教育程度高且持自由主义立场。另一部分人可能会给出更为负面的回应。

Although greater tolerance toward this lifestyle currently exists among the public at large, instances of “gay bashing” still occur, and homophobia is a prevalent attitude among many Americans. A team of researchers found that “We find substantial underreporting of LGBT (Lesbian, Gay, Bisexual, Transgender) identity and behaviors as well as underreporting of antigay sentiment … even under anonymous and very private conditions” (Coffman, Coffman, & Marzilli Ericson, 2013). As to attitudes toward homosexuality, 23 percent do not believe same-sex marriages should be legally recognized, 25 percent are opposed to laws making it illegal to discriminate against gays in hiring, 19 percent oppose having homosexuals adopt children, and 15 percent believe homosexuals can change their sexual orientation (Morin, 2013). This poll, however, did not draw on a random sample; rather, the respondent tended to be young, well educated, and liberal. Another segment of the population would probably have given more negative responses.

图片 9.4同性恋曾被视为犯罪，但如今在西方社会越来越被接受。因此，由两个爸爸和他们的孩子（无论是领养的，还是由其中一个爸爸生，由代孕妈妈怀上的）组成的家庭已不再罕见。

IMAGE 9.4 Homosexuality, once considered a crime, is increasingly accepted by Western societies. Consequently, a family consisting of two daddies and their children—either adopted, or fathered by one and carried by a surrogate mother—is no longer a rarity.

iStock：© Juanmonino

iStock: © Juanmonino

尽管如此，由于同性恋群体的积极参与，援引民权立法，维护自身婚姻权利，美国最高法院于2015年6月裁定，宪法保障所有人的婚姻权利。由此，同性婚姻在美国全部50个州合法化。

Nonetheless, as a result of the active engagement of gay and lesbian groups who invoked the civil rights legislation to maintain that they have the right to marry, the U.S. Supreme Court ruled in June 2015 that the Constitution guarantees the right of marriage to all individuals. Consequently, same-sex marriage is legal in all 50 states.

同性恋的解释理论

Explanatory Theories of Homosexuality

目前尚无理论能够成功解释同性恋的成因。精神分析理论认为，同性恋是由特定的家庭结构造成的，例如，母亲专横跋扈，父亲软弱无能，或者母亲拒绝孩子，父亲缺位。然而，这些理论无法解释为什么这类家庭中的许多人不会成为同性恋，反之，也无法解释为什么一些关系密切、充满爱的家庭中的孩子会成为同性恋。

No theory has successfully explained the causes of homosexuality. Psychoanalytic theories suggest that homosexuality is caused by a specific family configuration, namely, a dominating mother and a weak father or a rejecting mother and an absent father. However, these theories fail to explain why many in such families do not become homosexual and, vice versa, why children in some closely knit and loving families do.

学习理论认为，同性恋与其他社会化因素一样，是通过模仿或奖惩等过程习得的。这些理论也没有考虑到同性恋者不顾惩罚仍会接受这种生活方式，也没有考虑到异性恋父母也可能生出同性恋子女，同性恋父母也可能生出异性恋子女。

Learning theories maintain that homosexuality, like other elements of socialization, is learned through such processes as imitation or rewards and punishments. These theories, too, do not take into account that homosexuals embrace this lifestyle despite punishment, and that heterosexual parents may produce homosexual children and homosexual parents may produce heterosexual children.

生物学理论将同性恋归因于遗传基因或性激素。遗传学家发现同卵双胞胎的同性恋发生率高于异卵双胞胎，因此他们认为，共同的隐性基因可能是导致同性恋发生的因素。科学家们还认为，激素在胎儿时期就影响了未来的性取向，因为他们发现同性恋和双性恋的发生率在特定家庭中“聚集”在一起（Pillard & Weinrich，1986）。神经科学家对同性恋和异性恋男性及女性的脑组织进行了研究，发现：异性恋男性的下丘脑中某个特定区域比同性恋男性和异性恋女性的下丘脑区域大三倍（Suplee，1991）。

Biological theories attribute homosexuality either to inherited genes or to sex hormones. Geneticists have found higher rates of homosexuality among identical twins as compared to fraternal twins, thus leading them to believe that a shared recessive gene may be a causal factor. Scientists have also suggested that hormones affect future sexual orientation prenatally, inasmuch as they found that rates of homosexuality and bisexuality were “clumped” in specific families (Pillard & Weinrich, 1986). Neuroscientists who examined the brain tissue of homosexual and heterosexual men and women found that, in heterosexual men, a specific area in the hypothalamus is three times as large as in homosexual men and heterosexual women (Suplee, 1991).

同性恋似乎是可遗传的，也就是说，它有基因成分，尽管很难解释其因果关系。事实上，由于男同性恋者生育的孩子数量只有异性恋男性的五分之一（通过与女性发生关系或体外受精），根据进化论，同性恋基因应该很快就会消失。该领域其他研究人员的结论表明，性取向可能是由多种因素共同作用形成的。可能有生物学原因，例如性激素可能在胎儿期和新生儿早期发育阶段影响大脑。也可能有文化因素会强化激素倾向。比如，一些女性可能会被女同性恋的生活方式所吸引，因为她们被女性更感性、更富有表现力的爱的方式所吸引。

It does appear that homosexuality is heritable, that is, that there is a genetic component to it, despite the difficulty of supplying cause and effect. In fact, because gay men have only one-fifth as many children as heterosexual men (from relations with women or in vitro fertilization), a gene for homosexuality should soon disappear, according to evolutionary theory. The conclusion of other researchers in this area suggests that sexual orientation is probably arrived at through a combination of factors. There may be biological causes—for instance, sex hormones that could be influencing the brain in the prenatal and early neonatal phases of development. There may also be cultural factors that strengthen hormonal predispositions. Some women, for example, may be attracted to a lesbian lifestyle because they are drawn to the more emotional and expressive way women love.

跨性别

Transgender

跨性别者（transgender）最近成为新闻热点，因为一些名人改变了自己的性别，并公开了他们的程序。跨性别者指的是性别认同（即他们个人对自身性别的感受）与其出生时的样子不同的人。简而言之，根据外生殖器判断，接生的产科医生会宣布他们为男性或女性。但随着他们逐渐长大，他们开始对这种性别认同感到不适，并更倾向于与异性保持一致。试图改变一个人内在的性别认同以适应其外在性别的尝试是行不通的。在过去，这些人不得不隐藏他们对异性的偏好。他们尝试穿着异性的服装，并从事异性特有的活动。然而，他们需要秘密地进行这些活动，因为他们的行为不被社会理解和禁止。如今，一些医疗程序可以帮助人们轻松地从一种性别转变为另一种性别。新闻报道中报道了许多接受此类程序并成功实现性别转换的人，这一事实无疑将使社会能够理解和接纳那些感觉自己身处错误身体的人。请访问www.glaad.org/transgender/transfaq以及其他众多探讨这一问题的网站。

The issue of transgender has been in the news of late because several celebrities have changed their gender and have made their procedure public. The term transgender refers to people whose gender identity—their personal feelings of being either a man or a woman—differs from what appeared at their birth. In short, judging from the external genitalia, the obstetrician who attended their birth declared them to be either male or female. But as they were growing up, they came to feel uncomfortable with this gender identity, and more aligned with the opposite gender. Attempts to change a person’s internal gender identity to match his or her external sex are unsuccessful. In the past, such individuals had to hide their predilection for the other gender. They attempted to wear the other gender’s clothing and engage in activities characteristic of the other gender. However, they needed to do this in secret because their actions were not understood and were proscribed by society. Today, there are medical procedures that ease transformations from one to the other gender, and the fact that a number of people in the news have gone through such procedures and achieved successful transformations will surely teach society to understand and accept people who feel they are in the wrong body. See www.glaad.org/transgender/transfaq, and numerous other sites dealing with this issue.

性传播疾病

Sexually Transmitted Diseases

所有类型的性行为，尤其是无保护的滥交性行为，都会带来一个不幸的后果，那就是性传播疾病 (STD)。性传播疾病是指通过性接触（包括口交、肛交和口肛接触）在人与人之间传播的疾病。性传播疾病包括衣原体感染、淋病、梅毒、艾滋病以及大约 30 种其他疾病。这些传染病非常常见，因为导致这些疾病的病毒和细菌对药物的耐药性日益增强，而且性观念的放松导致人们更早地发生性行为，并且与多个伴侣发生性行为。性传播疾病影响着所有年龄段和社会阶层的人们。如果不及时治疗，性传播疾病非常危险，会导致不孕不育，在最坏的情况下甚至会导致死亡。然而，如果及早发现，大多数性传播疾病是可以治愈的；如果掌握正确的信息并谨慎行事、负责任地对待自己的行为，所有性传播疾病都是可以预防的。不幸的是，许多人似乎并没有承担起这样的责任。美国疾病控制与预防中心 (CDC) 报告称，尽管美国每年约有 70 万例淋病病例，但该病对传统治疗药物的耐药性正在增强。如果淋病细菌也对新型抗生素产生耐药性，将引发一场严重的危机。

An unfortunate consequence of all types of sex, but particularly of unprotected, promiscuous sex, is sexually transmitted diseases (STDs). STDs are defined as diseases transmitted from one person to another through sexual contact, including oral–genital contact, anal intercourse, and oral–anal contact. STDs include chlamydia, gonorrhea, syphilis, AIDS, and about 30 others. These communicable diseases are very common because the viruses and bacteria that cause them have become increasingly resistant to drugs and because looser sexual mores have led people to engage in sex at earlier ages and with multiple partners. STDs affect people of all ages and all social classes. Untreated, they are very dangerous, leading to infertility and, in the worst cases, death. However, most may be cured if caught early enough, and all are preventable when proper information is available and care and responsibility for one’s actions is taken. Unfortunately, it seems that many people do not take such responsibility. The Centers for Disease Control (CDC) report that although approximately 700,000 cases of gonorrhea occur every year in the United States, the disease is becoming resistant to the antibiotics with which it has been traditionally treated. Should the bacterium become resistant to the new type of antibiotics as well, it would lead to a severe crisis.

二十年前，美国开始意识到困扰男同性恋（以及后来共用针头的吸毒者）的祸害：人类免疫缺陷病毒（HIV），一种导致自身免疫缺陷综合征（艾滋病）的病毒。从那时起，艾滋病就成为某些人群的主要死因，并且是艾滋病是25岁至44岁美国人第五大死因。截至2010年，美国已有超过15,529名艾滋病患者死亡，其中包括15岁以下的青少年和儿童。艾滋病已成为许多其他社会，尤其是非洲国家的主要杀手。全球有超过120万人感染艾滋病毒，其中六分之一的人并不知道自己已被感染（美国疾病控制与预防中心，《统计数据概览》，访问日期：2014年3月6日；www.aids.gov/hiv-aids-basics-hiv-aids-101/statistics）。

Twenty years ago the nation became conscious of a scourge that afflicted homosexual males (and later drug addicts who shared needles): the emergence of the human immunodeficiency virus (HIV), the virus that causes autoimmunodeficiency syndrome (AIDS). Since then, AIDS has become a leading cause of death for some populations and is the fifth leading cause of death among all Americans between the ages of 25 and 44. More than 15,529 Americans with AIDS have died in the United States as of 2010, including adolescents and children under 15, and the disease has become a major killer in many other societies, especially those in Africa. More than 1.2 million persons live with HIV infections, and one in six of them are not aware that they are infected (CDC, Statistics at a Glance, accessed 03/06/2014; www.aids.gov/hiv-aids-basics-hiv-aids-101/statistics).

当艾滋病毒的传播途径明晰后，政府和一些卫生组织在同性恋者和吸毒者中发起了一场措辞强硬的运动，旨在预防和保护艾滋病毒。对于同性恋者，运动强调了安全性行为的绝对必要性，即使用安全套进行性行为。

When it became clear how HIV was spread, the government and a number of health organizations initiated a strongly worded campaign among homosexuals and drug addicts with the aim of prevention and protection. For gays, it urged the absolute necessity of having safe sex, that is, sex protected by condoms.

新的治疗方法可以延长艾滋病患者的生命，并防止艾滋病毒感染者感染艾滋病。截至2013年，全球约有3500万人感染艾滋病毒/艾滋病，其中近一半为女性，约334万为儿童（2013年）。然而，当感染者获得抗逆转录病毒药物后，死亡人数有所减少，尤其是在母婴传播的情况下（世界卫生组织，全球卫生观察站，访问日期：2013年6月3日；www.who.int/hiv/topics/mtct/en/index.html）。针对该疾病的研究仍在进行中，预计在基因操控方面将取得突破。

New treatments can prolong the lives of AIDS victims and keep at bay the emergence of AIDS among the HIV infected. Internationally, about 35 million people are estimated to be living with HIV/AIDS as of 2013, of whom almost half are women and approximately 3.34 million are children (2013). However, antiretroviral drugs, when made available to those infected, have reduced the number of deaths, especially in cases of mother-to-child transmission (World Health Organization, Global Health Observatory, accessed 03/06/2013; www.who.int/hiv/topics/mtct/en/index.html). Research on the disease is ongoing and a breakthrough is expected in the guise of genetic manipulation.

美国老年人虽然在总人口中所占比例不断上升，却仍遭受着地位、收入和声望的下降。由于现代工业社会技术变革的迅猛，许多年轻人至少在某些领域比老年人拥有更丰富的知识和技能。结果，老年人的价值被贬低。此外，老年人的健康和活力也在下降，因此偏离了崇尚青春、美丽和健康的社会所普遍推崇的理想标准。许多老年人除了健康问题外，还面临着经济困难；老年妇女和少数族裔成员尤其如此。在就业领域，对老年人的歧视显而易见，40岁以上的老年人处境艰难。“脱离”被认为是一个相互的过程，老年人自愿放弃社会和职业角色，以便这些角色由年轻人填补。其他研究老年人的理论框架包括现代化理论、互动理论、亚文化理论、活动理论、交换理论和年龄分层理论。老年人是社会中一个快速增长的群体，因此对他们的消极态度很可能会逆转。

The elderly in the United States suffer from loss of status, income, and prestige, even though they are an ever-increasing proportion of the population. Because of the speed of technological change in modern industrial societies, many young persons are better informed and have more skills than the old, at least in certain areas. As a result, the old are devalued. In addition, the elderly suffer from declining health and vigor and so deviate from the ideal norms that prevail in a society that extols youth, beauty, and fitness. Many of the elderly have financial difficulties in addition to health problems; this is especially true of elderly women and members of minority groups. Discrimination against the elderly has been obvious in the area of employment, where the cards are stacked against anyone over age 40. Disengagement is supposed to be a mutual process by which the elderly give up social and occupational roles voluntarily so that these roles may be filled by younger persons. Other theoretical frameworks within which the elderly are studied include the modernization, interactionist, subculture, activity, exchange, and age stratification theories. The elderly are a rapidly growing segment of society so it is likely that the negative attitudes toward them will be reversed.

人类存在两种性别，这一事实带来了诸多冲突。从生物学角度来看，两种性别对于物种繁衍至关重要：男性的功能是将精子输送到女性的生殖器官中；女性的功能是孕育由此产生的胚胎——进而孕育胎儿——直至其发育成完全成形的人类婴儿。之后，父母双方可以共同抚养它，直至其能够独立生存。纵观历史，这些不同的生物学功能导致社会对两性给予差异化和不平等的待遇。

The fact that humanity exists in two genders has brought it much conflict. From a biological point of view, the two sexes are needed for the species to reproduce: the function of males is to deposit sperm in the reproductive organs of females; the function of females is to carry the resulting embryo—and then the fetus—until it emerges as a fully formed human infant. Both parents can then nurture it until it can exist independently. Throughout history, these different biological functions have resulted in societies treating the two sexes differentially and unequally.

男女之间的差异体现在解剖学、遗传学和激素水平上。这些差异无疑会影响男女的行为。其中一些差异似乎表明，女性比男性更善于社交，更容易受暗示，自尊心较低（至少从青春期开始如此），而且成就感也较低。男性被认为更具攻击性、更自信，并且更善于分析。还有证据表明，女性的语言能力更胜一筹，而且似乎更倾向于养育孩子。婴儿和儿童（表达性角色）的男性更擅长空间和数量能力，从而促进了工具性角色的发挥。目前尚不清楚这些特征是天生的，还是社会化经历差异的结果。

Differences between men and women are of an anatomical, genetic, and hormonal nature. These differences certainly have effects on the behavior of men and women. Some of these differences seem to indicate that females are more social, are more suggestible, have lower self-esteem—at least beginning with adolescence—and are less achievement-oriented than males, who are judged to be more aggressive and assertive and to have more analytical minds. There is also evidence that females are superior in verbal ability and seem inclined to nurture infants and children (the expressive role), whereas males excel in spatial and quantitative abilities, facilitating the instrumental role. What remains unclear is whether these traits are inborn or a result of differences in socialization experiences.

即使我们生来是男性或女性，我们都必须经历性别角色的社会化。这种社会化始于摇篮：男婴和女婴受到不同的对待。研究人员认为，性别角色的社会化是在功能主义和冲突理论的背景下，通过社会学习、认知发展模型和认同等过程进行的。至于性别社会化的媒介，则是家庭、同龄群体、学校和大众媒体。

Even though we are born either male or female, we must become socialized into sex roles. Such socialization begins in the cradle: girl and boy babies are treated differently. Researchers theorize that socialization into sex roles occurs in the context of the functionalist and conflict theories through such processes as social learning, the cognitive developmental model, and identification. As to the agents of gender socialization, they are the family, the peer group, the school, and the mass media.

在大多数社会中，女性遭受不平等待遇的事实对她们的生活产生了影响。传统的性别角色已被性别歧视意识形态所渗透，这种意识形态为两性之间的不平等提供了合理性。性别歧视的明显后果是，女性失去了许多选择，几个世纪以来，她们一直被限制在妻子和母亲的角色中，除此之外别无其他。当代后工业社会的社会文化变革为女性开辟了更多的发展道路。然而，大量女性进入职场，以及随之而来的婚姻和家庭的取代，让许多女性感到困惑和迷茫。女性仍然难以将个人成就的追求与传统家庭生活的渴望相协调。因此，男性和女性的性别角色仍然远未明确。

The fact that women have been treated unequally in most societies has had consequences on their lives. Traditional gender roles have been permeated by a sexist ideology that justifies the inequality between the sexes. The obvious effect of sexism is that many options have been closed to women, who have been relegated for centuries to the roles of wives and mothers and little else. Sociocultural changes in contemporary postindustrial societies have opened more avenues for women. However, the entrance of so many women into the workforce and the consequent displacement of marriage and family have left many women puzzled and confused. It remains difficult for women to reconcile their aspirations for personal achievement with their desire for a traditional family life. As a result, both men’s and women’s gender roles still remain far from clear-cut.

在获得人格中性取向的过程中，并非每个人都会被异性恋所吸引。有些人喜欢同性，因此成为同性恋者。还有些人对两种性别都感兴趣，有时在尝试之后与其中一种性别建立伴侣关系，有时则终生保持双性恋状态。科学家尚未确定这些行为的确切原因。

In acquiring the sexual portion of personality, not everyone is drawn to heterosexuality. Some individuals prefer members of their own gender, becoming homosexuals. Still others are attracted to both sexes, sometimes establishing a paired relationship with one gender after some experimentation, or otherwise remaining bisexual throughout their lives. Scientists have not established a definite cause for these behaviors.

无保护或滥交的负面影响是性传播疾病（STD），其中最危险的是艾滋病。这种疾病已经夺走了许多男同性恋者和静脉注射毒品者的生命，而且越来越多的妇女和儿童也因此丧命。它也是发展中国家，尤其是非洲国家的一大祸害。

A negative effect of unprotected or promiscuous sex is sexually transmitted diseases (STDs), the most dangerous of which is AIDS. This disease has killed many gay men and intravenous drug users and, increasingly, many women and children. It is also a scourge in developing nations, particularly in Africa.

活动理论 在老年人研究中，成功老龄化的关键是用新角色取代以前角色的理论。

activity theory In the study of the elderly, the theory that the key to successful aging is to replace former roles with new ones.

年龄歧视： 一种主张年轻人优于老年人的意识形态，用于为政治、经济和社会领域中对老年人的歧视提供正当理由。

ageism An ideology that asserts the superiority of the young over the old. Used to justify discrimination against the elderly in political, economic, and social areas.

解剖学差异 两性在生理结构和外观上的差异。最重要的解剖学差异在于男性和女性不同的生殖系统。

anatomical differences The differences in physical structure and appearance between the two sexes. The most important anatomical difference lies in the distinct reproductive systems of males and females.

认知发展理论： 一种认为儿童根据其所达到的认知发展阶段学习性别角色的理论。认知发展是指个体在不同生理成熟阶段处理信息的方式。

cognitive development theory A theory that includes the idea that children learn gender roles according to which stage of cognitive development they have reached. Cognitive development is the way information is processed by individuals at different stages of physical maturation.

冲突视角 一种假设权力和特权基于个人拥有的资源的理论。

conflict perspective A theory that assumes that power and privilege are based on the resources an individual possesses.

脱离理论： 一种老龄化理论，认为老年人应退出其原有的社会和职业角色，以便年轻人填补。这应在双方同意的情况下进行。

disengagement theory A theory of aging that posits that the elderly withdraw from their former social and occupational roles so that these may be filled by the young. This should occur by mutual consent.

交换理论 在老年人研究中，该理论认为老年人在美国社会中处于不利地位，是因为他们缺乏社会和物质资源，无法在与年轻人的互动中发挥价值。

exchange theory In the study of the elderly, the theory that the disadvantaged position of the elderly in American society is due to their lack of the social and material resources that would make them valuable in interactions with the young.

表达性角色 强调培育、情感和和平建设。

expressive role Emphasizes nurturing, emotion, and peacemaking.

性别角色 传统上，工具性角色分配给男性，而表达性角色分配给女性。

gender roles Traditionally, the instrumental role is assigned to males and the expressive role is assigned to females.

遗传的 与基因有关，基因决定了所有生物的遗传。

genetic Pertaining to genes, which determine heredity in all living creatures.

激素由体内腺体分泌到血液中的化学物质，其功能是刺激某些化学过程并抑制其他化学过程。

hormones Chemicals that are secreted into the bloodstream by glands located in the body, whose functions are to stimulate some chemical processes and inhibit others.

工具性角色 强调理性、竞争性、侵略性和目标导向。

instrumental role Stresses rationality, competitiveness, aggression, and goal orientation.

男性或女性 生物学术语，描述生物学事实。它们指的是性别状态，是既定的，除非在特殊情况下，否则不会改变。

male or female Biological terms, descriptive of biological facts. They refer to a sex status, ascribed and not subject to change except in extraordinary circumstances.

男性气质与女性气质 反映社会状况，描述特定社会中男性和女性的行为规范，以及他们对自身的感受。这些是性别角色，是被塑造的，因此会随着时间和地点的变化而变化。

masculine and feminine Reflect social conditions, describing how males and females are expected to behave in a given society and how they come to feel about themselves. They are gender roles, achieved and, thus, subject to change according to place and time.

现代化理论 在老年人研究中，认为随着老年人所处社会变得更加现代化和工业化，老年人的地位会下降的理论。

modernization theory In the study of the elderly, the theory that the status of older people declines as the society in which they live becomes more modern and industrial.

第二性征 包括身高、体重、身体脂肪和毛发的分布以及肌肉组织。

secondary sex characteristics Include height, weight, distribution of body fat and hair, and musculature.

性染色体 包含决定所有生物遗传的基因。

sex chromosomes Contain the genes that determine heredity in all living creatures.

性别地位 指生物学上男性或女性的既定条件。

sex status An ascribed condition referring to the biological terms male or female.

社会学习理论 一种基于行为主义观念的理论，认为学习包括观察、模仿和强化。

social learning theory A theory based on the behaviorist notion that learning consists of observation, imitation, and reinforcement.

结构功能主义理论 社会学中最主要的理论之一，它假设社会系统中保留的那些元素有助于该系统的生存。

structural functionalist theory One of the most dominant theories in sociology, which assumes that those elements are retained in a social system that aid in the survival of that system.

安吉尔，娜塔莉。1991年。“强效肽激发拥抱的冲动。” 《纽约时报》，1月22日，B5、B8页。

Angier, Natalie. 1991. “A Potent Peptide Prompts an Urge to Cuddle.” The New York Times, January 22, pp. B5, B8.

安吉尔，娜塔莉。1995年。“如果你真的老了，你可能会过得更好。” 《纽约时报》，6月11日，第1页和第10页。

Angier, Natalie. 1995. “If You Are Really Ancient, You May Be Better Off.” The New York Times, June 11, pp. 1 & 10.

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Westheimer, Ruth K., and Sanford Lopater. 2004. Human Sexuality. Baltimore: Lippincott Williams & Wilkins. As the title suggests, this is a textbook on human sexuality and deals with the entire spectrum of this subject in clear and understandable language. The well-known Dr. Westheimer answers letters and queries on a variety of sexual issues.

From the Plow to the Computer: Change, Collective Behavior, and Social Movements

从犁到计算机：变革、集体行为和社会运动

在本章中，你将学习

IN THIS CHAPTER, YOU WILL LEARN

• 变化是生活永恒不变的特征，但在现代世界，变化的速度变得更快；

• that change is a constant feature of life, but the speed of change has become more rapid in the modern world;

• 可以从多个角度来看待变化；

• that change may be viewed from several perspectives;

• 一些变化的根源；

• some of the sources of change;

社会和文化变革的过程；

• the processes of social and cultural change;

• 技术与变革的关系；

• the relationship of technology to change;

• 集体行为的含义以及它发生的地点和原因；

• the meaning of collective behavior, and where and why it occurs;

• 人群的定义和种类，以及其他形式的集体行为（恐慌、暴徒、骚乱和群体歇斯底里）；

• the definition and kinds of crowds, and other forms of collective behavior (panics, mobs, riots, and mass hysteria);

• 公众和公众舆论的性质；

• the nature of publics and public opinion;

• 关于社会运动、其特征和特性以及一些原因。

• about social movements, their traits and characteristics, and some of their causes.

西我们已经进入新世纪和新千年将近二十年了。即将结束的千年，以人类的视角来看，代表着一段极其漫长的时间，但以宇宙的时间来看，它不过是转瞬即逝的瞬间。在新世纪，我们又能期待经历哪些变化呢？我们只能对未来进行推测，尽管我们对过去有所了解。由于前辈留下了文字记录，我们对当时的生活状况有所了解。在欧洲，公元前一千年即将结束的时候（也就是公元999年），大多数人的生活都充满艰辛。男性能活过30岁就感到很幸运了，50岁也被认为是高龄（当然，也有些人活到了八十多岁）。女性也几乎活不过30岁，许多人经常死于难产。我们所知的童年时期在当时是未知的：各个社会阶层的儿童都必须尽快成长，成为……他们是社会的有用成员。这意味着皇帝十几岁时就率领军队，许多教皇二十几岁就开始任职。在欧洲第一个千年的前夕，交通工具意味着牛车，快速交通工具则由马和骑手组成。农奴的住房是泥茅草屋，封建领主的住房是木屋城堡。疾病猖獗：肺结核经常导致大量人口死亡，麻风病人聚居在许多城墙外。维生素缺乏会导致失明、甲状腺肿、瘫痪和骨骼畸形，受影响的人成了驼背和乞丐，依靠健康和富人的摆布生活。社会秩序被严格划分为界限分明的阶层：贵族，他们花时间与敌人作战以保住他们的特权地位和领土；神职人员的主要任务是为灵魂的救赎祈祷（因为人们认为世界末日即将来临，所以这是一项重要的职责！）；农奴则承担着社会上所有繁重的劳动，为其他人提供衣食。漆黑的夜晚，只有燃烧的木柴和偶尔点亮的蜡烛照亮，让所有人都感到恐惧，每个季节都与前一个季节大同小异。

We are almost two decades into a new century and a new millennium. The millennium that ended represented a dramatically large segment of time in human terms, though in terms of cosmic time it was a blink of an eye. What changes can we expect to experience in the new century? We can only conjecture about the future, though we know something of the past. Because generations that came before us left a written record, we have some insights on what life was like. When the first thousand years of the Common Era were ending in Europe (in 999, that is), life for the majority was a grim struggle. Men considered themselves lucky to survive past 30 years, and 50 was considered a ripe old age (although, of course, some lived into their eighties). Women, too, barely made it to their thirtieth birthday, and many died regularly in childbirth. The years we know as childhood were unknown: children in every social class had to grow up as fast as possible and become useful members of society. This meant that emperors were leading armies while still in their teens, and many popes began their tenure while still in their twenties. At the eve of that first millennium in Europe, transportation meant an oxcart, and rapid transportation consisted of a horse and rider. Housing was mud-1and-thatch huts for the serfs and timber castles for the feudal lords. Disease was rampant: tuberculosis regularly decimated populations, and leper colonies flourished outside many city walls. Vitamin deficiencies produced blindness, goiter, paralysis, and bone malformations, and those so affected made up the hunchbacks and beggars living at the mercy of the healthy and wealthy. The social order was rigidly divided into clearly defined strata: the nobility, who spent their time battling enemies to preserve their privileged status and their territory; the clergy, whose chief task was to pray for the salvation of souls (because the end of the world was thought to be imminent, this was an important function!); and the serfs, who did all the back-breaking work in the society to feed and clothe the others. The dark nights, illuminated only by burning logs and the occasional candle, held terror for all, and each passing season was much like the one before.

从公元999年到公元1999年的一千年间，世界发生了翻天覆地的变化。如今，我们已进入二十一世纪，人类寿命延长，许多疾病得到控制，交通快捷高效，通讯即时便捷。在发达国家，食物和住房日益丰富完善——尽管并非所有人都能享用。电力使我们能够在夜间工作，工业体系创造了数以百万计的物品来满足我们现实和想象的需求。然而，过去乐观地称之为进步的事物，并未在全球范围内得到公平分配，也未在各个社会中得到公平分配。它也未能彻底根除疾病、饥荒、战争、痛苦和苦难等古老的祸害。

In the thousand years between 999 and 1999 the world had changed dramatically. Now that we are in the twenty-first century, human lives have been extended, many diseases have been tamed, transportation is rapid and efficient, and communication is instant. In the developed world, food and housing have become sophisticated and plentiful—though not for all individuals. Electricity enables us to work at night, and the industrial system creates millions of objects to fulfill our needs, both real and imagined. But what used to be called, optimistically, progress has not been fairly distributed around the globe, nor in individual societies. Nor has it eradicated totally the ancient scourges of disease, famine, war, pain, and suffering.

二十一世纪还会带来什么？我们不再害怕世界末日，但大多数人展望未来仍心存忐忑。科学机构预测的全球气温变化将带来一些尚不清楚的变化。社会科学专家告诉我们，二十一世纪将是经济将发挥主导作用的世纪。一些人认为，在未来的几个世纪里，世界将拥有更多民主国家，这意味着各国将更加和平共处。过去的帝国主义建立在获取新领土以开采原材料的需求之上。如今，原材料对制造业的重要性将日益降低，因为即使是石油也被替代燃料、太阳能和受控核聚变所取代。石油时代的终结也将导致国家地位的重新调整。这可能会迫使各国更充分地合作，以解决世界面临的重大问题。只要欧洲和美国能够设法解决一些内部问题，它们就有可能继续保持超级大国的地位。然而，我们仍未看到战争和冲突的结束，无论是由于领土、种族还是宗教原因。

What else does the twenty-first century hold in store? We no longer fear the end of the world, but most of us look to the future with some trepidation. The changes in global temperature, predicted by scientific entities, will lead to changes that are still unknown. Experts in the social sciences tell us that the twenty-first century will be one in which economics will play a dominant role. Some maintain that in the centuries ahead, the world will contain more democracies, which will mean a more peaceful coexistence among nations. The imperialism of the past was based on the need to acquire new territory to exploit its raw materials. Increasingly, raw materials will be less important to manufacturing, as even oil is replaced by alternative fuels, solar power, and controlled nuclear fusion. The end of the petroleum age will also lead to a rearrangement in the status of nations. It will probably force them to collaborate more fully to solve overarching problems that face the world. Europe and the United States will possibly remain in the forefront as superpowers as long as they can manage to solve some of their internal problems. Still, we have not seen an end to wars and conflicts, whether over territory or ethnicity or religion.

如今，变化剧烈而迅速。但过去并非如此。人类社会几千年来几乎没有改变。究竟是什么导致了如此深刻的变革？是什么使得如今的变化如此迅速？变化究竟是什么？它源于何处？它能被阻止或按照我们的意愿改变吗？它能被减缓或加速吗？是我们控制了它，还是它控制了我们？

Today, change is dramatic and fast. It was not always so. Human societies remained practically unchanged for many thousands of years. What has happened to cause such profound transformations? What makes change occur so rapidly now? What is change, anyway? Where does it originate? Can it be stopped or bent to our wishes? Can it be slowed or accelerated? Do we control it, or does it control us?

社会与变革

Society and Change

正如我们所说，在人类历史的大部分时间里，出生在同一代的人生活得与父母非常相似，并且可以指望他们的孩子也能过上与他们一样的生活。无论发生什么变化，都几乎难以察觉，因为它进展缓慢。在过去的250年里，尤其是过去100年里，发生了如此巨大的变化一代又一代，相隔二三十年的人们仿佛生活在完全不同的社会，彼此陌生。在剧烈变革不断发生的同时，也显现出一丝稳定。稳定因素维系着社会的凝聚力，并将一代又一代人紧密联系在一起。

For most of human history, as we said, people born in one generation lived very much like their parents and could count on their children living very much as they had. Whatever change occurred was almost imperceptible because it was so slow. For the past 250 years, and especially for the past 100 years, such vast changes have taken place from one generation to the next that people separated by 20 or 30 years may be said to live in an altogether different society and be strangers to one another. At the same time that dramatic changes constantly take place, a thread of stability is also apparent. The factor of stability holds societies together and binds each generation to the next.

iStock：© Serg Myshkovsky

iStock: © Serg Myshkovsky

图 10.1从象形文字（例如上图所示，出自埃及帝王谷的一座古墓）到计算机，经历了漫长的发展历程。一旦发明了一种可以同时与多人交流而非一次与一个人交流的方式，社会变革就会迅速加速。

IMAGE 10.1 It has been a long way from hieroglyphics (like the one above, from a tomb in the Valley of the Kings in Egypt) to computers. Social change increases rapidly once a way is invented of communicating with many people at once, rather than one at a time.

iStock：© pidjoe

iStock: © pidjoe

变革这一主题对社会科学家来说尤为引人入胜，因为如果能够科学地确定变革的根源，并预测变革的进程，那么引导变革朝着实现最高共同利益的方向发展的可能性就有可能成为现实。遗憾的是，变革这一主题并非那么容易驾驭。然而，人们不断地对变革进行分析，因为显而易见，它是当代生活诸多方面运转的核心。

The subject of change holds special fascination for social scientists because if the sources of change could be determined scientifically, and the course of change predicted, then the possibility of guiding change in the direction of attaining the highest common good could become a reality. Unfortunately, the subject of change is not so easily harnessed. Change is constantly analyzed, however, because it is apparent that it is the pivot around which much of contemporary life revolves.

尽管变化代表着流动或运动，但分析需要将社会现象视为静止的时空现象。然而，也必须从动态（即研究变化的根源）的角度来观察它们。静态和动态是同一现象的两个维度。它们是共存的实体，在变化研究中需要同时运用这两种维度，这使得研究项目变得更加复杂。复杂性还源于变化影响个人和社会生活的方方面面。因此，关于变化，需要分析的问题无穷无尽，形式多样。许多网站都提供社会变化分析的链接。

Although change represents flux, or motion, analysis requires that social phenomena be viewed as if they were frozen in time and space (static). But they must also be observed from the perspective of dynamics, or the study of the sources of change. Statics and dynamics are two dimensions of the same phenomenon. They are coexisting entities, and the need to employ both in the study of change makes the project so much more complex. Complexity also results from the fact that change affects every aspect of individual and social life. The issues to be analyzed concerning change, then, are endless and multiform. Many Web sites present links that offer analyses of social change.

变化的层次

Levels of Change

变化可能体现在微观、中观和宏观三个层面。在微观层面，变化体现在个人和小群体互动的新模式中。例如，家庭是一个发生了巨大变化的机构，这一点将在后面的章节中阐明。这些变化的主要结果是个人面临着大量的选择：新的行为规范、新的价值观和新的礼仪。虽然选择可以开阔视野，但也会带来焦虑和困惑。反过来，焦虑和困惑又会导致无规范感，或者说失范，这对个人和社会都有害。

Change may be experienced on a micro level, on a middle level, and on a macro level. On a micro level, change is felt through new patterns of individual and small-group interaction. The family, for instance, is a much changed institution, as will become apparent in a later chapter. The chief result of these changes is that the individual is faced with a large number of options: new norms of behavior, new values, and new manners. Although choice opens some horizons, it also creates anxiety and confusion. In turn, anxiety and confusion can lead to feelings of normlessness, or anomie, which are harmful to the individual and to society.

在社会生活的中层，由于经济和政治体制的变迁，社区也经历了变革。随着工业成为西方社会经济的根本力量，人们开始大量迁往城市。我们称之为城市化趋势，它被认为削弱了社区联系。与此同时，城市环境为个人提供了更多机会。同样，由于政治体制日益民主化的趋势以及资本主义经济体系提供的更多机会，那些曾经被排除在政治进程或向上流动之外的群体或阶层，也越来越多地获得了融入。

At the middle level of social life, change is experienced in communities as a result of alterations in the economy and in the political system. As industry became the underlying force of economies in Western societies, people began moving in large numbers to cities. Urbanization, which is what we call this trend, is perceived as having lessened communal ties. At the same time, the urban setting presents many more opportunities to individuals. Similarly, groups or classes of people that were formerly excluded from the political process or from upward mobility have been increasingly gaining inclusion as a result of trends toward greater democratization of the political system and the greater opportunities that a capitalistic economic system offers.

最后，在宏观社会层面，变革是由大规模、革命性的社会力量所引发的，它们影响着整个社会和世界各个地区。经历这些变革的个人和社区似乎被这些社会力量席卷而去，因为他们必须适应这些变革，否则就会灭亡。城市化、工业化和信息社会的到来就是这些宏观层面变革的一部分，它们产生多米诺骨牌效应，改变着社会结构和制度。

Finally, on the macrosocial level, change is generated by social forces that are large scale and revolutionary, affecting entire societies and regions of the world. Individuals and communities, where these changes are experienced, seem to be swept away by these social forces in the sense that they must adapt to them or perish. Urbanization, industrialization, and the advent of the information society are some of these macro-level changes, and they have a domino effect, transforming the social structures and institutions of societies.

社会和文化变迁的过程

Processes of Social and Cultural Change

变革可能是自愿的，也可能是计划的，可能是借鉴或模仿其他社会的；也可能是新现象的发现，新技术的发明。我们了解变革发生的过程。

Change may be willed or planned, borrowed or imitated from other societies; or phenomena may be discovered and technologies invented. And we know the processes through which change occurs.

变革发生在社会和文化层面。当社会发生变化时，它往往以互动模式的改变为幌子。也就是说，由于变革，一些社会成员获得了新的地位，并承担了新的角色。例如，废除奴隶制是一场社会变革，因为它赋予了昔日奴隶新的身份——自由人——使他们能够与其他自由人平等地承担新的角色。这种变革，即社会变革，是通过规划、改革或革命来实现的。

Change occurs on both a societal and a cultural level. When change happens in society, it does so in the guise of a change in the patterns of interaction. That is, as a result of change, some members of society assume new statuses and fill new roles. For instance, the abolition of slavery was a social change because it gave former slaves a new status—that of free persons—in which they could assume new roles as the equals of other free persons. This kind of change, social change, occurs through planning, reform, or revolution.

另一方面，文化的变迁，或者说文化变迁，是科学发现、技术发明、艺术新成就、宗教教义转变等等的结果。西方文明经历了剧烈的文化变迁：过去认为奴隶制正当的观念，如今却被认为奴隶制应受谴责的观念所取代；过去认为地球是平的，如今却发现地球是圆的；汽车的发明改变了人们的生活方式，影响了性观念、家庭传统以及人们对世界的看法。

On the other hand, change in culture, or cultural change, occurs as a result of scientific discoveries, technological inventions, new achievements in the arts, shifts in religious doctrines, and so on. In Western civilization there have been dramatic cultural changes: the belief that slavery was justified has given way to the belief that it is reprehensible; the assumption that the earth is flat has given way to the discovery that it is round; the invention of the automobile has transformed the way of life, affecting sexual mores, family traditions, and people’s perceptions of the world.

当然，社会与文化并非孤立存在。社会变革和文化变革并非各自独立发生。社会变革引发文化变革，反之亦然。社会变革和文化变革相互交织，仅在分析时才将其分开看待。社会科学家使用“社会文化变革”（或简称“变革”）一词来指代社会变革和文化变革。

Of course, society and culture do not exist one without the other. Social and cultural changes do not occur separately and distinctly. Changes in society cause changes in culture and vice versa. Social and cultural changes overlap and are viewed separately only for purposes of analysis. Social scientists use the term sociocultural change, or simply change, to mean both social and cultural change.

社会变革：规划、改革、革命

Social Change: Planning, Reform, Revolution

规划是一个不言自明的过程，需要人们持续参与。各级政府的规划会带来持续的、尽管往往缓慢的社会变革。

Planning is a self-explanatory process in which people are constantly engaged. Planning by governments at all levels results in continuous, though often slow, social change.

改革是指公民或政府机构为纠正法律或制度所做的努力。大萧条时期，法律进行了改革，为公民提供就业机会，为他们失业时提供生存所需的资金，帮助他们获得医疗保健等等。1954年，允许种族隔离的法律进行了改革。堕胎和离婚法也经历了改革。经过长期的争议，美国的医疗保健最近也进行了改革。

Reform involves efforts by either citizens or governmental agencies to correct laws or institutions. During the Great Depression, laws were reformed to provide citizens with jobs, to furnish them with the wherewithal to survive when they were unemployed, to help them with health care, and so on. In 1954, the law that allowed segregation of the races was reformed. Abortion and divorce laws have also undergone reform. Health care in the United States has recently been reformed, after a long period of controversy.

革命是指一个国家人民在其政府不再回应人民或被其他国家占领时，通过暴力手段实现的变革。本章稍后将在社会运动的背景下分析革命。

Revolution is change obtained through violent means by the people of a nation when their government ceases to be responsive to them or when they are occupied by another country. Revolution is analyzed in the context of social movements later in the chapter.

文化变革：创新与传播

Cultural Change: Innovation and Diffusion

由于人类是习惯的动物，他们比较保守，不愿为了接受新的事物而放弃信仰、价值观和习俗——这些都是非物质文化的方面。然而，有些文化变迁需要舍旧求新。文化变迁的过程包括创新和传播。

Because people are creatures of habit, they are conservative and resist giving up beliefs, values, and customs—aspects of nonmaterial culture—in favor of new ones. Nonetheless, some cultural changes necessitate giving up, or exchanging, the old for the new. The processes of cultural change include innovation and diffusion.

创新。创新产生新的元素，或旧元素的新组合，从而被文化所吸收。创新也总是累积性的。无论是音乐、绘画，还是最新的太空技术，它们都是建立在先前奠定的基础之上的。创新可以表现为一项发现，也可以表现为一项发明。

Innovation. Innovation produces new elements, or new combinations of old elements, for absorption into the culture. Innovation is also always cumulative. Whether we speak of music, painting, or the latest space technology, they are all built on foundations erected earlier. Innovation can take the form of a discovery or of an invention.

发现是对既有事实或关系的新认知。物理和化学原理、太阳系的构造、病毒和细菌的存在，都是发现的例子。这些现象一直存在，只是人类尚未意识到。一项发现要想带来改变，就必须将其付诸实践。必须有其他技术发明来支持它，并且必须存在对这项发现的需求。大约2000年前，希腊人就已经知道蒸汽机的原理，但他们认为没有必要，也不具备制造蒸汽机所需的技术。

A discovery is a new perception of an already existing fact or relationship. Principles of physics and chemistry, the organization of the solar system, the existence of viruses and bacteria, are examples of discoveries. These phenomena existed all along, but humans were not aware of them. For a discovery to effect change, it must be put to use. There must be other technological inventions to support it, and a need for the discovery must be present. The principle of the steam engine was known by the Greeks some 2,000 years ago, but they saw no need for such a machine, nor did they have the necessary technology to build one.

发明是将现有知识用于新用途的一种方式。文化中已有的思想或物品以新的方式组合在一起，创造出比其各部分简单相加更重要的东西。当蒸汽机与船结合时生产蒸汽船后，这种新产品成为一种比以前由划桨或帆船驱动的船只更有效的运输方式。

An invention is a way of putting existing knowledge to new use. Ideas or objects already present in the culture are combined in a new way to produce something more important than the sum of their parts. When the steam engine was combined with a boat to produce the steamboat, the new product became a more effective mode of transportation than boats powered by rowing or sails had been previously.

非物质文化领域也存在着发明。美国宪法可以被认为是一项文化发明，它源于西欧的哲学传统和新大陆殖民者的经验。

Inventions can also occur in nonmaterial culture. The Constitution of the United States may be thought of as a cultural invention resulting from the philosophical traditions of Western Europe and the experience of the colonists in the New World.

传播。传播是指文化特征从一个社会传播到另一个社会，或从一个社会群体传播到另一个社会群体的过程。传播是文化变迁的一个重要因素。例如，意大利面是由意大利移民带到美国的。意大利人接受了从中国传入的面条，如今意大利面食已被视为与苹果派一样具有美国特色（而且它在许多其他国家也广受欢迎）。人类学家认为，复杂文化的大部分内容都是传播的产物。

Diffusion. Diffusion is a process in which cultural traits are spread from one society to another, or from one group within society to another. Diffusion is an important factor in cultural change. For instance, spaghetti was brought to the United States by Italian immigrants. The Italians had adopted noodles that had been brought from China, and today pasta is considered as American as apple pie (and it has become popular in many other countries, as well). Anthropologists claim that most of the content of a complex culture is the product of diffusion.

文化传播往往是互惠的；也就是说，一种文化在与另一种文化接触时，会给予另一种文化某种东西，尽管比例并不总是相同的。简单文化通常比复杂文化更多地借鉴其他文化的元素，而且借鉴的文化通常是有选择性的。亚洲社会普遍接受了西方的技术（以及时尚、音乐和饮食），但接受西方价值体系的速度却很慢。美国借鉴了英国的代议制政府理念，但并未将其转化为议会制。一个社会所借鉴的特征往往会被修改，而不是被全盘接受。

Diffusion tends to be reciprocal; that is, each culture in contact with another gives something to the other, although not always in the same proportion. A simple culture, as a rule, borrows more elements from a complex culture than the other way around, and a borrowing culture is usually selective. Asian societies have generally accepted Western technology (and fashion and music and food), but are only slowly accepting the West’s system of values. Americans borrowed the idea of representative government from England but did not give it a parliamentary form. The traits that a society borrows tend to be modified rather than accepted wholesale.

变革的根源

The Sources of Change

是什么引发了变革？追踪变革的根源一直是社会科学家面临的难题，他们已经开发出许多理论和模型来解释变革。然而，变革的根源也更加显而易见。

What triggers change? Tracing the sources of change has been problematic for social scientists, who have developed a number of theories and models to explain it. There are also more obvious sources of change, however.

自然环境。自然环境，人们几乎无法掌控，它引导着社会的文化发展和社会结构的建立。它既促进某些变化，也限制其他变化。地震、火山爆发、反复的洪水、严重的干旱以及类似的现象，可能会彻底改变当地居民的生活，有时甚至会将他们彻底摧毁。石油泄漏、飓风、地震和海啸迫使许多渔民、海鲜摊贩、供应商和其他从业人员不得不寻找新的工作或业务，并承受着巨大的经济损失和心理压力。

The Physical Environment. The physical environment, over which people have little control, directs the cultural development of a society and the erection of social structures. It also promotes some and limits other changes. Earthquakes, volcanic eruptions, repeated flooding, severe droughts, and similar phenomena may effectively change the lives of the people in the area, sometimes wiping them out altogether. Oil spills, hurricanes, earthquakes, and tsunamis have forced a number of fishermen, seafood vendors, suppliers and other employees into new jobs or businesses, at great financial loss and psychological hardships.

地理因素。过去，地理因素发挥着至关重要的作用，因为在地理上处于十字路口的社会中，变革发生得更快、更一致，因为每个社会都接触到其他社会的文化。相反，在地理上与其他社会隔绝的社会中，变革很少发生，因为文化传播的机会很少。

Geography. In the past, geography played a crucial role because change occurred more rapidly and more consistently in societies that were geographically at the crossroads, where each society was exposed to the culture of another. Conversely, little change occurred in societies that were geographically isolated from others because there were so few opportunities for cultural diffusion.

人口。人口流动以及人口规模的增减也是变革的源头。二战后的婴儿潮催生了大量学校的建设和以青年为主导的产业的发展。如今，这代人对就业和住房提出了特殊要求，未来老年人口将使社会负担过重。这将对整个社会产生影响。

Population. Population movements, as well as increases and decreases in population size, are also sources of change. The baby boom that followed World War II required the building of many schools and the development of youth-directed industries. This same generation is today making special demands on jobs and housing and in the future will make the society top heavy with older people. This will have consequences for the entire society.

思想或信仰体系。社会变革的另一个源泉源于思想或信仰体系，也称为意识形态。美国革命是社会变革的一个触发机制：这场革命的起因是美国人应该脱离英国而独立的思想深入人心，而这种思想的出现又是因为依赖英国会给美国带来经济困境。

Ideas or Belief Systems. Another source of social change originates in ideas or belief systems, also called ideologies. The American Revolution was a triggering mechanism for social change: it was fought because the idea that Americans ought to be independent of England took hold, and the idea emerged because dependence on England was an economic hardship.

社会运动。意识形态和信仰体系常常被纳入社会运动之中，这是一种集体行为，本章稍后将对此进行讨论。社会运动吸引了众多人聚集在一起，共同推动或抵制特定的社会或文化变革。它们代表着社会成员试图通过直接行动来影响社会秩序。

Social Movements. Ideologies and belief systems are often incorporated into social movements, a form of collective behavior that will be discussed later in the chapter. Social movements attract a number of people who join together to either bring about or resist specific social or cultural changes. They represent an attempt on the part of members of a society to affect the social order through direct action.

战争与征服。纵观人类历史，许多社会变革都源于战争，战争的结果是领土的征服或丧失。战争伤亡会对人口产生深远的影响。仅二战就造成约1700万军人和约3400万平民死亡，由此可见，一个社会可能遭受人口下降，并导致数代人的经济失衡。经济体系几乎肯定会发生变化，因为劳动力中男性的减少可能意味着劳动力短缺。反过来，劳动力短缺又可能促使女性加入劳动力大军，从而导致传统、价值观和角色的重新调整。战争也需要生产特定的产品——武器、交通工具等等，因此新工厂往往会被建造，从而再次加速经济增长。战争的失败者面临着其他变化——外国统治和外来语言的强加，被迫迁移到其他地区，通过税收和奴隶劳动施加的经济压迫，以及最糟糕但绝非独一无二的事件——死亡。

War and Conquest. Throughout the history of the human race, much social change has occurred as a result of wars, which yielded either the conquest of territory or its loss. War casualties can have a deep impact on population. Considering that in World War II alone, about 17 million military personnel and some 34 million civilians died, it becomes clear that a society can suffer a decline in population that will unbalance it for generations. There are almost certain to be changes in the economic system, for fewer men in the labor force may mean labor shortages. In turn, shortages may bring women into the labor force, with a consequent realignment of traditions, values, and roles. Wars also necessitate the manufacture of specific products—arms, means of transportation, and so on, so that new plants tend to be built, again accelerating economic growth. The losers in war face other changes—the imposition of foreign rule and a foreign language, forced movement to other areas, economic subjugation imposed through taxation and slave labor, and in the worst but by no means unique event, death.

战争除了给幸存者留下创伤，有时甚至是不可磨灭的印记外，还可能通过被迫与其他文化接触而改变一个国家的价值观和规范。日本就是最好的例子，这个曾经封闭的社会，最初由于美军的军事占领，开始吸收美国的规范。

In addition to leaving a traumatic and sometimes indelible mark on the survivors, wars may change a nation’s values and norms through the forced contacts with other cultures. The best example is provided by Japan, a formerly closed society that, initially because of its military occupation by American forces, began to absorb American norms.

最后，战争会对社会结构，尤其是制度产生巨大影响。美国大型研究型大学的发展，源于苏联——当时我们冷战时期的敌人——率先发射了太空卫星。中央政府以牺牲地方政府为代价而扩张，也与国防和安全需要庞大的官僚机构和广泛的征税权有关。

Finally, war can have drastic consequences on a society’s social structure, particularly institutions. The growth of large research universities in the United States followed the fact that the USSR—then our Cold War enemy—was the first nation to launch a space satellite. The growth of the central government at the expense of local governments is also related to the fact that providing for national defense and security requires a large bureaucracy and wide-ranging taxing powers.

随机事件。随机事件和个体行为也可能导致变革，尽管我们无法对这些现象进行科学探究。总统遇刺，导致副总统接任国家元首，这可能会产生重大后果，一位将军在一场重要战役中败北的判断也会产生同样的影响。个人也能对社会事件的进程产生深远的影响，尽管评估单个个体对社会变革的影响并非易事。

Random Events. Random events and the acts of individual human beings can also lead to change, although there is no way to subject such phenomena to scientific inquiry. The assassination of a president, causing a vice president to take over the helm of a nation, can have dramatic consequences, as can the judgment of a general who loses a significant battle. Individuals, too, can have profound influences on the course of events in a society, although it is difficult to evaluate the effect of a single individual on social change.

技术

Technology

纵观历史，最明显、最具革命性的变革源泉是技术。技术涵盖了人类创造的所有方法、设备和人工制品，它们帮助人们管理和控制环境。对于史前人类来说，技术包括使用削尖的棍棒和石头。对于当代人来说，技术涵盖了从简单的铲子到精密的电脑或iPhone等各种设备。

The most obvious and revolutionary source of change throughout history has been technology. Technology includes all the methods, devices, and artifacts made by humans that help people to manage and control their environment. For prehistoric humans, technology consisted of the use of sharpened sticks and stones. For contemporary people, it includes everything from a simple shovel to a sophisticated computer or iPhone.

一些技术发现或发明在社会文化变革方面意义重大，以至于被称为技术革命。新石器时代（公元前5000年至3000年之间）就发生了一次这样的革命。在这一时期，人类历史上第一次从食物采集者转变为食物生产者。他们驯养了一些动物并加以利用。他们发明了犁。他们开始使用四轮车辆。后来，他们又发明了太阳历、文字和数字，并开始使用青铜。最后，他们带来了灌溉、帆船、织布机、制砖、上釉工艺。以及一项伟大的建筑发明——拱门（请阅读www.tribunesandtriumphs.org/roman-architecture/roman-arches.htm以了解拱门的重要性）。

Some technological discoveries or inventions have been so significant in terms of the sociocultural changes they have produced that they have been called technological revolutions. One such revolution occurred during the Neolithic, or New Stone Age (between 5000 and 3000 BC). In this period, for the first time in history, people changed their condition from food gatherers to food producers. They domesticated some animals and put them to use. They invented the plow. They began using four-wheeled vehicles. Later, they added the solar calendar, writing, and numbers, and they began to use bronze. Finally, they added irrigation, sailboats, looms, the making of bricks, the process of glazing, and a great architectural invention, the arch (read about the importance of the arch on www.tribunesandtriumphs.org/roman-architecture/roman-arches.htm).

第一次技术革命的成果

Results of the First Technological Revolution

耕种土地和放牧牲畜为人们提供了相当可靠的食物供应，甚至偶尔还能有余粮。由于饥荒率大幅下降，人口激增。人们不再需要不断迁徙寻找食物，便永久地定居在一个地方。定居的生活促进了制度的发展——习俗和传统融入家庭、宗教、教育、政府和经济体系。随着时间的推移，这些关键制度都变得更加复杂。临时定居点变成了永久的村庄和城镇。为了提高效率，这些村庄和城镇中必须完成的工作被分工。商品和服务开始在许多村庄和城镇之间交换，新的环境控制方法也逐渐积累。村庄发展成为城镇，继而发展成为城市，最终发展成为城邦和民族国家。宗教从对魔法的信仰发展到更复杂的形式，包括一神论。家庭也经历了一系列变革，在不同的社会中呈现出不同的形式。

Tilling the soil and keeping flocks provided people with a fairly dependable food supply and even an occasional surplus. Because the rate of starvation was drastically reduced, populations boomed. No longer needing to move in constant search of food, people settled permanently in one spot. A settled existence promoted the development of institutions—customs and traditions solidified into the family, religion, education, government, and the economy. In time, these pivotal institutions all grew in complexity. Temporary settlements became permanent villages and towns. Work that had to be done in these villages and towns was divided for the sake of greater efficiency. Goods and services began to be exchanged between a number of villages and towns, and new ways to control the environment accumulated. Villages grew into towns and then cities and eventually became city–states and nation–states. Religions progressed from beliefs in magic to more sophisticated forms, including monotheism. The family also underwent a number of changes and took on different forms in different societies.

工业革命

The Industrial Revolution

大约到十八世纪中叶，一场新的技术革命开始了又一个变革周期，尽管工业革命实际上源于更早的事件。

By about the middle of the eighteenth century, a new technological revolution began yet another cycle of change, although the Industrial Revolution actually had its roots in much earlier events.

工业革命的发明和发现

Inventions and Discoveries of the Industrial Revolution

工业革命可以说是始于（1）少量基础机器的发明，（2）一些新材料的发明和发现，以及（3）新动力来源的发现。这些发现和发明产生了广泛的影响，包括农业和制造业的机械化、动力在制造业中的应用、工厂制度的发展、交通和通讯速度的大幅提升，以及经济体系的剧烈变革。

The Industrial Revolution may be said to have begun with (1) the invention of a small number of basic machines, (2) the invention and discovery of some new materials, and (3) the discovery of new sources of power. The wide-ranging effects of these discoveries and inventions included the mechanization of agriculture and manufacturing, the application of power to manufacturing, the development of a factory system, a tremendous increase in the speed of transportation and communication, and dramatic changes in economic systems.

工业革命第一阶段发明的最重要的机器包括摆钟、珍妮纺纱机、动力织布机、高炉和蒸汽机。第二阶段，据信始于1860年左右，其中最重要的发明是内燃机，它使蒸汽动力得以应用于运输和工厂机械生产。钢铁取代铁成为工业的基本材料，天然气和石油取代煤炭成为主要动力来源（我们目前正尝试利用原子能、太阳能以及其他替代能源）。电力成为工业能源的主要形式。电力的普及使得信息可以通过电线、电报和电话传递；通过在夜间提供照明，人们有更多时间工作；并为涡轮机和电梯提供动力，从而建造摩天大楼。化学也在这一时期蓬勃发展，使人们能够制造出原本在自然界中不存在的产品，例如石化产品、合成材料和塑料。自动化机械得到了发展，劳动也变得高度专业化。请参阅：www.loc.gov/exhibits/british/brit-5.html和www.softschools.com/timelines/industrial_revolution_timeline/40/。

Among the most important machines invented during the first phase of the Industrial Revolution were the pendulum clock, the spinning jenny, the power loom, the blast furnace, and the steam engine. During the second phase, which is thought to have begun about 1860, the most important invention was the combustion engine, which enabled steam power to be applied to transportation and factory machine production. Steel was substituted for iron as the basic material of industry, and coal was replaced by gas and oil as principal sources of power (we are currently attempting to harness atomic and solar energy as well as other alternative sources of power). Electricity became a major form of industrial energy. The spread of electricity enabled messages to be sent over wires, telegraph, and telephones; gave people more time to work by providing light during the night hours; and supplied power for turbines and elevators so that skyscrapers could be built. Chemistry also flourished in this period, allowing people to manufacture products that were not originally found in nature, such as petrochemicals, synthetics, and plastics. Automatic machinery was developed, and labor became highly specialized. See: www.loc.gov/exhibits/british/brit-5.html, and www.softschools.com/timelines/industrial_revolution_timeline/40/.

第三阶段——有人认为这实际上是一场新技术革命的开端——始于20世纪30年代左右发展起来的自动化。从根本上说，自动化是指机器控制其他机器的过程，这与机械化（即机器取代人力和动物的体力）形成对比。自动化实际上始于二战后，当时第一台计算机问世。计算机带来了信息爆炸，使过去30年来存储和获取知识的能力几乎翻了一番。

A third phase—which according to some is actually the beginning of a new technological revolution—began with automation, which was developed around the 1930s. Basically, this is a process in which machines control other machines, as contrasted with mechanization, which is the substitution of machines for human and animal muscle power. Automation effectively began following World War II, when the first computers were produced. Computers have been responsible for an information explosion that has practically doubled the ability to store and access knowledge in the last 30 years.

图片 10.2火车是一项结合了当时社会上已有元素——蒸汽机和车轮——的发明，当时人们意识到火车的速度和舒适度将远超马车。在美国尤其如此，因为长途旅行使得传统的交通方式既漫长又不舒适，而且往往充满危险。

IMAGE 10.2 The train was an invention that combined elements already present in the society—the steam engine and wheels—when it became apparent that the speed and comfort of the train would be superior to that provided by a horse and carriage. This was especially true in the United States, where the long distances made travel by the old method long, uncomfortable, and often dangerous.

iStock：© slang78

iStock: © slang78

第三次技术革命预计将在21世纪中叶成熟。这场革命将计算机和电信技术（图像电视、语音电话、数据信息、文本传真）整合成一个单一系统，并将我们带入一个真正的全球社会。关于工业革命的发明和事件的更详细描述可以在多个网站上找到；例如：www.mead.sd54.org/mshipley/files/2015/01/listofinventorsandinventios.pdf。互联网上也有一些关于其对环境影响的讨论。请参阅：www.history.com/topics/industrial-revolution；以及：www.huggingtonpost.com/jeremy-rifkin/the-industrial-revo_1_b_1386430.html。

The third technological revolution should mature by about the middle of the twenty-first century. This revolution consists of the joining of computers and telecommunications (image television, voice telephone, data information, text facsimile) into a single system, which will transform us into a true world society. A more detailed description of the inventions and events of the Industrial Revolution may be found at several Web sites; see for instance: www.mead.sd54.org/mshipley/files/2015/01/listofinventorsandinventios.pdf. There are also discussions of its impact on the environment on the Internet. See: www.history.com/topics/industrial-revolution; and also: www.huggingtonpost.com/jeremy-rifkin/the-industrial-revo_1_b_1386430.html.

工业主义

Industrialism

后来被称为工业主义（或工业化）的生产体系，代表着与以往商品制造方式的彻底背离。在中世纪，工匠或手艺人组织成行会（工会的一种），生产整件物品并直接出售给买家。随着商业的扩张，一些工匠依靠商人来处理他们的商品，而不是等待顾客上门。最终，工匠开始依赖商人提供原材料并销售成品。由于需要更多工人，商人开始雇佣整批工人。家庭用原材料或半成品生产出成品，并按件支付报酬。这种制度也被称为计件制、家务制或外包制。计件制成为英国毛纺业的基础。农民家庭通过纺商人带到他们农舍的羊毛来补充他们微薄的收入（因此得名“家庭手工业”）。最终，随着生产的物品越来越多，计件制变得越来越专业化。一件物品的生产被分成几个步骤，不同的家庭成员或学徒都可以轻松地完成。专业化和分工是组织生产的特别有效的方式。

The system of production that came to be called industrialism (or industry) represented a radical departure from previous methods of manufacturing goods. In the Middle Ages, artisans or craftsmen organized in guilds (types of unions) produced an entire article and sold it directly to a buyer. As commerce expanded, some craftsmen relied on merchants to dispose of their merchandise rather than waiting for customers to come to their shops. Eventually, craftsmen began to depend on merchants to supply the raw material and to sell the finished product. Needing more workers, merchants began to employ entire families to produce a finished object out of raw or unfinished material and paid them by the piece. This system was alternately called the piece, domestic, or putting-out system. The piece system became the foundation of the English woolen industry. Farm families supplemented their small earnings by spinning the wool that merchants brought to their cottages (hence the name “cottage industry”). Eventually, the piece system became increasingly specialized as more and more articles were produced. The production of an article was divided into several steps that different members of the family or apprentices could easily perform. Specialization and division of labor are especially efficient ways of organizing production.

工厂。随着机械的发明和在制造业的广泛应用，将工人和大型机器安置在同一屋檐下变得更加便捷。这一举措带来了工厂制度，并使其成为工业化的基础。当所有生产环节都集中在一个地方时，以前的商人——现在被称为企业家和雇主——对工人的控制力更强。他们可以控制员工的工作进度——决定每小时或每天要完成多少件产品。当生产所需的一切都唾手可得时，他们就能更有效地利用资本。

The Factory. With the invention and growing use of machinery in manufacturing, it became more convenient to house both the workers and the bulky machinery under one roof. This step introduced the factory system as the basis of industrialism. The former merchants—now called entrepreneurs and employers—had much more control over their workers when all the stages of production were housed in one location. They could pace the work of their employees—decide how many pieces had to be finished per hour or per day. And they could use their capital much more effectively when everything needed for production was at their disposal.

工业革命于十九世纪初从英国传入美国。十九世纪中叶，它传播到西欧，并于十九世纪末传入日本。1917年俄国革命后，俄国开始认真努力地实现工业化，中国、印度和南美洲也相继效仿。以下网站对英国和美国的工业革命的起源进行了详细的讨论：www.industrialrevolutionresearch.com/hos_industrial_revolution_started.php；www2.sunysuffolk.edu/westn/industry.html；以及webs.bcp.org/sites/vcleary/ModernWorldHistoryTextbook/IndustrialRevolution/IRbegins.html。

The Industrial Revolution came to the United States from Britain in the early part of the nineteenth century. It spread to Western Europe in the middle of that century and to Japan at the end of the century. After the Russian Revolution in 1917, Russia began a serious effort at industrialization, and in succession, so did China, India, and South America. The beginnings of the Industrial Revolution in England, as well as in America, are discussed at length on Web sites such as: www.industrialrevolutionresearch.com/hos_industrial_revolution_started.php; www2.sunysuffolk.edu/westn/industry.html; as well as: webs.bcp.org/sites/vcleary/ModernWorldHistoryTextbook/IndustrialRevolution/IRbegins.html.

技术与社会变革

Technology and Social Change

技术也可以定义为知识的实际应用，因为它建立在现有知识和先前技术的基础上。因此，一个社会的技术越先进，其技术进步就越快。毋庸置疑，技术进步会带来变革，进步越快，变革的速度就越快。技术支撑着一个社会的经济体系。技术越先进，它作为创造财富的系统就越高效。工业体系通过大规模生产数百万件相同的产品来创造财富。这种生产方式使制造商能够以低成本生产产品，并通过将其销往尽可能大的市场来获取利润。如今，所谓的“烟囱时代”即将结束。计算机驱动的技术正在颠覆以往的工业生产体系，因为它们使得针对更特定市场的小批量定制化产品和服务成为可能。此外，持续的创新极大地缩短了产品的生命周期，尤其是技术本身的生命周期。计算机行业一项创新功能的生命周期大约为六个月。尽管当今的计算机速度如此之快、功能如此强大，但我们很快就会看到更先进的计算机的出现。在制造业中，机器人也将承担起大部分原本由产业工人完成的工作。

Technology may also be defined as the practical application of knowledge because it builds on existing knowledge and previous technology. Therefore, the more technologically advanced a society is, the more rapid is its technological progress. Needless to say, technological progress leads to change, and the faster the progress, the faster the pace of change. Technology is what supports the economic system of a society. The more advanced the technology, the more efficient it is as a system for creating wealth. The industrial system created wealth by mass-producing millions of identical products. This production method enabled manufacturers to produce articles cheaply and make a profit by selling them to the largest market possible. Today the so-called smokestack era is coming to a close. Computer-driven technologies are reversing the previous industrial system of production in that they are making it possible to produce small runs of more customized goods and services aimed at more specific markets. In addition, constant innovation shortens the life cycles of products immensely, especially those of the technologies themselves. The approximate life of an innovative feature in the computer industry is approximately six months. As fast and as powerful as today’s computers are, we will shortly see the appearance of still superior ones. In manufacturing, too, robots will take up most of the work previously done by industrial workers.

图片 10.3工业革命为我们带来了这样的景象，也带来了商品和服务产量的提升，极大地改善了我们的生活。然而，如今，一场新的技术革命却有可能让曾经繁荣的工业城市变成鬼城。

IMAGE 10.3 The Industrial Revolution brought us images such as this and an increased production of goods and services that much improved our lifestyle. Now, however, a new technological revolution threatens to make ghost towns of once prosperous industrial cities.

iStock：© gerenme

iStock: © gerenme

技术发展非常迅速：1951 年，斯佩里·兰德公司（Sperry Rand Corporation）的 Univac 部门制造出了第一台大型计算机，它占据了一个房间的大小；到了 20 世纪 70 年代末，计算机的尺寸大幅缩小，个人计算机应运而生；到了 1989 年，一块指甲盖大小的芯片，比如英特尔 486，安装在售价约 1,000 美元的台式电脑上，却拥有 20 世纪 70 年代价值数百万美元的机器的性能。如今，个人电脑无处不在，它们相当便宜，并且催生了一种全新的生活方式：人们可以在网上做研究、阅读新闻和购物，用 iPod 听音乐，用智能手机通过电子邮件和即时消息进行交流，使用从游戏到减肥指南等无数的应用程序，最后还可以加入国际网络。

Technology reached its present point very rapidly: the first mainframe computer, which took up a whole room, was built by the Univac division of Sperry Rand Corporation in 1951; by the late 1970s, the size of computers was drastically reduced so that the personal computer could make its appearance; and by 1989, a chip the size of a thumbnail, like the Intel 486, installed in desktop computers, which cost around $1,000, had the power of the million-dollar machines of the 1970s. Today, personal computers are everywhere, they are fairly inexpensive, and they have spawned a whole new lifestyle: doing research, reading news, and shopping on the Internet, listening to music on an iPod, communicating via e-mail and instant messaging on a smartphone, using innumerable applications, from games to directions for dieting, and finally joining employees in international networks.

现代化

Modernization

西方社会开启了现代文明，并持续将新兴国家和前殖民国家推向类似的模式，这些革命性变革由一系列统称为现代化的过程组成。现代化是一个涵盖经济、社会和文化的全方位变革过程，它源于技术进步，正是技术进步将西方社会从前工业化生产模式转变为工业化生产模式，并进而影响到人类生活的方方面面。一些社会理论家认为，现代化是一场世界各国不断融合、最终成为现代工业化社会的运动。然而，西方国家早在大约250年前就已开启现代化进程，而许多较贫穷的国家仍在推进现代化。因此，现代化进程的不平衡导致了富国和穷国之间的分化，但技术的扩散最终将使落后国家迎头赶上。

The revolutionary changes that have ushered in modern times in the West and that are continuing to push new nations and former colonial powers into a similar mold consist of a number of processes collectively called modernization. Modernization, an all-encompassing process of economic, social, and cultural change, originated in the technology that transformed Western societies from a preindustrial to an industrial mode of production and went on to affect all areas of human life. Some social theorists see modernization as a movement in which all the nations of the world are converging and will eventually become modern industrialized societies. However, the nations of the West began to modernize some 250 years ago, but many poorer nations are still in the process of doing so. Consequently, the uneven rates of modernization have produced the division between the have and the have-not nations, but diffusion will eventually enable the laggard nations to catch up.

逻辑表明，技术进步速度的加快引发了一系列导致现代化的事件。当然，正如前文所述，变革从来都不是彻底的。它发生在稳定的背景下——人们仍然生活在家庭中，信奉宗教信仰，庆祝生活中的重大事件等等，就像现代化发生之前一样。

Logic suggests that an increase in the rate of technological progress triggered the chain of events leading to modernization. Of course, as was noted earlier, change is never wholesale or total. It occurs against a backdrop of stability—people still live in families, profess religious beliefs, celebrate major events in their lives, and so on, just as they did before modernization took place.

学习现代生活

Learning to Be Modern

所有社会的现代化进程都充满困难。在从农业向工业的转型过程中，现代化意味着将一个全新的生产体系强加于一个相对孤立的社会，而该社会的成员此前生活在仅够糊口的水平（依靠狩猎采集、园艺或畜牧业，或农业）。尽管工业化为一些人创造了财富，并使所有人的生活略有改善，但它也摧毁了许多传统和根深蒂固的生活方式。简而言之，经历现代化的社会的社会组织发生了改变，取而代之的是新的组织和结构。

The process of modernization is strewn with difficulties in all societies. In the passage from agriculture to industry, modernizing has meant superimposing a totally new system of production on a relatively isolated society whose members had lived at a subsistence level (by hunting and gathering, by horticulture or pastoralism, or by agriculture). Although industrialism produced wealth for some and allowed all to live somewhat better, it also destroyed a number of traditions and an entrenched way of life. In short, the social organization of societies undergoing modernization was altered, and a new type of organization and structure superseded it.

例如，在英国，欧洲最早的工业化国家，农民和农奴必须学会成为产业工人。他们迁往城市中心，那里有产业岗位。他们学会了工作换取工资。他们学会了接受与雇主之间的次要关系。他们学会了在没有大家庭精神支持的情况下生存。这些学习经历都并非易事，也并非一蹴而就。事实上，正因为它们发生得相当缓慢，新的模式才有机会得以具体化。新的价值观——例如，利润价值、职业道德、对成就的渴望、延迟满足——新的政治和经济制度，甚至由不同的社会化方式产生的新人格类型，都有机会在社会中扎根。个人最终会适应新的社会秩序，即使这种适应在任何社会中都不是完美的。

In Britain, for instance, the earliest industrialized nation in Europe, farmers and serfs had to learn to become industrial workers. They moved to urban centers, where industrial work was located. They learned to work in exchange for wages. They learned to accept a secondary relationship with their employers. And they learned to exist without the moral support of an extended family behind them. None of these learning experiences were easy or occurred rapidly. In fact, because they happened rather slowly, the new patterns had an opportunity to crystallize. New values—for instance, the value of profit, the work ethic, the desire for achievement, the deferment of gratification—new political and economic systems, and even new types of personality resulting from different methods of socialization had an opportunity to become entrenched in the society. Individuals eventually adjusted to the new social order, even though such adjustment was never perfect in any society.

在现代化起步较晚、进展迅速且以扩散而非演进的方式进行的社会中，情况远非一帆风顺。错位和紧张感体现在无根感、失范以及常常发生的暴力冲突中。前殖民地就是一个现代的例子。这些国家在获得独立后，试图尽快实现经济现代化，但当传统力量与现代化力量发生冲突时，冲突频频发生。在大多数国家，政治依然高度不稳定，一些团体定期试图通过政变和暴力推翻现政府，建立军事独裁政权来解决这个问题。在其他国家，各种社会运动十分常见。有些运动旨在恢复昔日的国家强盛；有些运动强调千禧年宗教，承诺未来的天堂；还有一些运动致力于革命，旨在建立新的社会和经济制度，或以民族主义为主题团结人民。

In societies where modernization occurred late, rapidly, and through diffusion instead of evolution, things have been going much less smoothly. The dislocations and strains have been evidencing themselves in feelings of rootlessness, anomie, and often violence. One modern example is provided by former colonies. After gaining independence, these nations have attempted to modernize their economies as rapidly as possible, frequently creating conflicts when the forces of tradition clashed with those of modernization. In most of them, there is still great political instability, which some groups periodically try to remedy by coups d’état and violent overthrow of present governments to install military dictatorships. In others, various social movements are common. Some aim at a return to a previous national greatness; others stress millenarian religions promising a future paradise; still others work toward revolutions with the goal of establishing new social and economic systems or use nationalism as a motif to unite the people.

因此，社会科学家越来越强烈地认为，现代化模式并非适用于所有社会。事实上，有些人认为，技术发达国家的发展实际上可能阻碍了发展中国家的进步。经济不平等对民主的影响以及有关现代化理论的信息可以在线查阅——请访问：盖尔全球问题背景：www.galegroup.com/gic/informark.do?&idigest=fb720fd31d9036c1ed； www.academia.edu/8374381/Modernization_Theory_A_Critical_Ana-lysis； www.sociology.about.com/od/M_Index/g/Modernization-Theory.htm；以及www.democracy.livingreviews.org/index/php/lrd/article/viewArticle/lrd-2009-4/13。

As a result, there has been an increasingly strong feeling among social scientists that the modernization model does not work for all societies. Some, in fact, suggest that it is possible that the development of technologically advanced nations actually inhibits the progress of developing nations. The effect of economic inequality on democracy as well as information about modernization theory are available online—check out: Gale Global Issues in Context at: www.galegroup.com/gic/informark.do?&idigest=fb720fd31d9036c1ed; www.academia.edu/8374381/Modernization_Theory_A_Critical_Ana-lysis; www.sociology.about.com/od/M_Index/g/Modernization-Theory.htm; and www.democracy.livingreviews.org/index/php/lrd/article/viewArticle/lrd-2009-4/13.

集体行为

Collective Behavior

变革往往是由某种形式的集体行为带来的。每天，电视屏幕上都会播放着群体行为的画面：男男女女高举拳头，举着标语，高呼口号。过去几十年里，我们看到中国学生高呼民主，看到东欧人对新政府不满，或者对……感到不满。关于俄罗斯接管以色列、巴勒斯坦人从屋顶投掷石块或向以色列城镇发射火箭弹，或进行自杀式爆炸引爆自身。在美国，我们也曾不止一次地看到大城市街头爆发暴力事件，造成人员伤亡和社区破坏。最近，几名黑人男子被过分热心的警察杀害，抗议活动演变成了暴力事件。有时，地方政府会面临试图挑起危机解决的扰乱性抗议者。有时，当一支运动队赢得一场重要胜利时，敌对的球迷群体会发生冲突，甚至爆发斗殴，最终可能导致人员死亡。万圣节等传统节日在某些地方已成为群体暴力事件的发生地。

Change is often brought in by some form of collective behavior. Every day, scenes of mass behavior stare at us from television screens: men and women with upraised fists, carrying signs, chanting slogans. In the past few decades, we have seen Chinese students clamoring for democracy, Eastern Europeans unhappy with their new governments or unhappy about Russian takeovers, Palestinians throwing rocks from the rooftops or rockets into Israeli towns, or blowing themselves up in suicide bombings. In the United States, too, on more than one occasion, we have seen the streets of our major cities erupt in violence that took lives and destroyed neighborhoods. Recently, protests evolved into such violence when several black men were killed by overzealous police. Occasionally, local governments are faced with disruptive protesters who attempt to provoke the resolution of a crisis. Sometimes, when a sports team wins an important victory, opposing groups of fans clash, and fights break out that may end in some persons’ deaths. Traditional holidays, such as Halloween, have become occasions for mob violence in some locations.

此类事件是社会动乱的体现，会破坏社会现状。当然，并非所有群体集会都是如此。音乐会或体育赛事上会有欢欣鼓舞的人群；宗教仪式上也会有热情响应的人群；银行出现财务困境的传闻也会引发担忧。即使人们并非以个人名义聚集在一起，也可能成为特定行为的受害者。例如，服装潮流的变化就属于这种情况。

Such events are instances of civil disorder, and destabilizing to the status quo of a society. Of course, not all group gatherings are of that kind. There are happy crowds at concerts or sports events; there are responsive crowds at religious services; there are worried crowds when a bank is rumored to be in financial difficulties. Even when people are not gathered personally in groups, they can fall prey to a specific kind of behavior. This is the case when fashions in clothing change.

所有这些行动和事件——以及许多其他类似的事件——的共同点在于，大量的人参与其中，这些行动和事件要么引发变革，要么变革引发变革。与传统的前工业社会或农业社会相比，城市、工业和后工业社会（这些社会强烈倾向于大众社会模式，参见下文讨论）更有可能表现出这种行为。社会科学家将这种行为称为集体行为。社会心理学从大群体之间互动的角度来研究集体行为。

What all these actions and events—and many other kinds of similar occurrences—have in common is that large numbers of people participate in them, and they either cause change or change brings them on. Urban, industrial, and postindustrial societies with strong tendencies toward a mass society model (see following discussion) are much more likely to exhibit this type of behavior than are traditional preindustrial or agrarian societies. Social scientists call this type of behavior collective behavior. The discipline of social psychology looks at collective behavior from the point of view of interactions between and among large groups of people.

集体行为涵盖了一系列可称为非常规行为，且涉及大量人群。本质上，集体行为不同于社会群体中通常发生的互动行为，即使它可能涉及许多人对同一情境做出反应。如第四章所述，大多数人类行为遵循相当规律的模式，因此在很大程度上是可预测的。当人们在其地位和角色的背景下，并在或多或少共享的规范体系框架内互动时，由此产生的规律性正是社会生活得以实现的根源。但是，当人们突然陷入一种前所未有的异常情境时，他们会发现自己没有社会规范或准则可循，也没有社会结构可以依靠。于是，他们很可能会模仿其他处于相同情境的人。例如，如果一个人在百货商店购物，突然听到另一个顾客大喊“着火了！”，这个人就会不知所措。这样的人很可能会自发地采取行动，甚至可能有些不合逻辑或不理性，并会效仿当时恰好在附近的人的行为。这种行为被称为集体行为，通常发生在人群聚集、暴徒聚集（骚乱、私刑）、某些体育赛事或音乐会以及宗教复兴会上。

Collective behavior covers a whole range of behaviors that may be termed non-routine and in which a large number of people engage. In essence, collective behavior differs from the interactive behavior that normally goes on in social groups, even though it may involve numbers of people reacting to the same situation. As noted in Chapter 4, most human behavior follows quite a regular pattern, so that it is predictable to a great degree. When people interact in the context of their statuses and roles, and within the framework of a normative system that is more or less shared, the resulting regularity is what makes life in society possible. But when people are suddenly thrust into an unusual situation for which there is no precedent in their experience, they find themselves without societal norms or guidelines to follow, without a social structure on which to fall back. They are then likely to imitate others who find themselves in the same situation. For instance, if a person is shopping in a department store and suddenly hears another customer yelling, “Fire!” that person will be unsure of what to do. Such a person will likely act spontaneously, perhaps somewhat illogically or irrationally, and follow the actions of others who happen to be nearby at the time. This is the type of behavior termed collective, and it tends to occur in crowds, in mobs (riots, lynching), at certain kinds of sports events or musical concerts, and at religious revival meetings.

当人们追随时尚、潮流、趋势或屈服于狂热时；当他们组成公众或观众时；当他们根据舆论、宣传和谣言采取行动时；当他们通过社会运动努力实现某些目标时，我们也称他们的行为是集体的。

We also call their behavior collective when people follow fashions, fads, trends, or give in to a craze; when they make up a public or an audience; when they act on public opinion, propaganda, and rumors; and when they work to attain certain goals through social movements.

尽管缺乏模式，但人们的行为很少完全缺乏结构。只有当一个人的生命受到威胁时，他或她才可能完全不顾他人的感受而采取行动。在大多数情况下，即使集体行为盛行，这种行为也是部分结构化、部分非结构化的。有些集体行为一开始相当有条理，但最终却变得完全无序。众所周知，摇滚音乐会的观众会蜂拥而上，跳上舞台，砸毁乐器。其他情况可能一开始毫无组织，但最终变得有条理。许多社会运动——例如劳工运动——一开始只不过是无组织的抗议活动。后来，它们发展出明确的目标，并对成员进行角色分级；它们发展出社会控制的规范和技巧，就像任何有组织的团体所特有的那样。

Despite its lack of pattern, rarely is there a complete lack of structure in people’s behavior. Only when an individual’s life is threatened is he or she likely to act with complete absence of awareness of others. In most situations, even when collective behavior prevails, that behavior is partly structured and partly unstructured. Some situations of collective behavior start out being fairly structured and end up being completely disorganized. Audiences at rock concerts have been known to surge forward, jump on the stage, and destroy musical instruments. Other situations may start out disorganized and end by being structured. Many social movements—the labor movement, for one—begin by being nothing more than disorganized protests. Later they develop definite goals and apply ranked roles to their members; they evolve norms and techniques for social control such as characterize any organized group.

许多社会运动、众多宗教派别以及若干政府都起源于某种形式的集体行为。一个与美国人相近的例子是美国，它起源于大量定居者对英国统治感到不满，并试图通过革命来改变它。

Many social movements, a large number of religious denominations, and several governments have originated in some form of collective behavior. An example close to Americans is that of the United States, which originated when a large number of settlers became dissatisfied with British rule and sought to change it through revolution.

人群

Crowds

如上所述，集体行为发生在群体情境中。群体是指对同一刺激做出反应的临时人群集合。群体分为不同类型：偶然聚集的群体，例如在红灯前等待过马路的人群；有组织的群体，例如为特定活动聚集的人群，例如音乐会或足球比赛；表达型群体，例如抗议集会或宗教复兴会议，聚集在一起表达情感；而表演型群体，则聚集在一起表达情感，通常带有敌意，例如暴徒、骚乱和暴力抗议集会。

As mentioned, collective behavior occurs in crowd situations. A crowd is a temporary collection of people who respond to the same stimulus. There are different kinds of crowds: casual crowds consist of people who come together by accident, such as those waiting at a red light to cross the street; organized crowds come together for specific events, such as concerts or football games; expressive crowds gather to express feelings, as in a protest rally or religious revival meeting; and acting crowds come together to act out feelings, usually of a hostile nature, as exemplified by mobs, riots, and violent protest meetings.

任何人群，即使是随意的人群，如果有适当的刺激，都可能演变成恐慌人群、暴徒或骚乱。有组织的人群更容易接受暴徒行为。人群中的人们往往会产生一种共同的情绪。情绪达到高潮，对什么是正确行为的共同观念浮现出来。这种行为往往是不可预测的和反社会的。如前所述，原因是人群缺乏明确的规范，并且暂时脱离了大多数社会控制；人群中的个人并不认识他或她的邻居。因此，人们很容易摆脱自己的身份，以匿名人群中的一员的身份行事。这样，没有人需要为反社会行为感到内疚。

Any crowd, even a casual one, may evolve into a panic crowd, a mob, or a riot if the right stimulus is present. Organized crowds are more receptive to mob behavior. People in crowds tend to develop a common mood. Emotions reach a high pitch, and a shared conception of what constitutes proper behavior emerges. This behavior is often unpredictable and antisocial. The reason, as was noted, is that a crowd lacks definite norms and is removed temporarily from most kinds of social control; one individual in a crowd does not personally know his or her neighbor. Therefore, it is easy for people to shed their identities and act as members of the anonymous crowd. In this way, no one person needs to feel guilty for antisocial actions.

尽管群体不仅仅是组成群体的个体的总和（这就是为什么每个社会都有长期的群体暴力、私刑和屠杀的历史），群体的反社会行为是有界限的。群体很少会做出个体成员不愿做的事情。群体暴力很少是随机的，而是针对被视为不公正或压迫的个人或机构。即便如此，具有破坏性的群体也只是暂时做出社会规范严禁的行为。然而，并非所有人都对群体持负面看法：一位作者认为，庞大的群体比少数精英个体更聪明（Surowiecki，2004）。您可以在以下网址了解更多关于集体行为的信息：www.trinity.edu/mkearl/socpsy-8.html。

Even though a crowd is more than the sum of the individuals who make it up (which is why there is in every society a long history of crowd violence, lynching, and massacres), there are limits on how far a crowd will go in antisocial behavior. A crowd seldom does anything that individual members do not want to do. Crowd violence is rarely random, but rather is directed against a person or institution that is perceived as unjust or oppressive. Even then, a destructive crowd only temporarily commits acts that are strongly forbidden by societal norms. However, not everyone has negative opinions about crowds: one author maintains that large groups of people are smarter than a few elite individuals (Surowiecki, 2004). You can find out much more on collective behavior on: www.trinity.edu/mkearl/socpsy-8.html.

图 10.4如果有合适的刺激，有组织的人群可能会演变成恐慌人群、暴徒或骚乱。由于共同情绪的形成和情绪的升温，这样的人群可能会做出难以预测的行为。

IMAGE 10.4 An organized crowd may devolve into a panic crowd, a mob, or a riot if the right stimulus is present. Such a crowd may engage in unpredictable behavior because a common mood develops and emotions reach a high pitch.

iStock：© Laszlo Szirtesi

iStock: © Laszlo Szirtesi

弥撒

Masses

另一种形式的集体行为发生在人群之间，他们彼此之间并非紧密相连，例如群体，而是以更间接的方式相互联系。与群体相比，群众更加分散，他们不一定身处同一物理环境。相反，群众是指对同一组共享符号做出反应的大量人群；例如，某个电视节目的观众构成了一个群众（Lofland，1981）。集体行为可以发生在群众中，就像在群体中一样（或同时发生在两者中）。恐惧、敌意和喜悦是激发群体和群众行为的基本情绪。

Another form of collective behavior occurs among people who are not in close proximity, as in crowds, but who are connected to one another in more indirect ways. Contrasted to crowds, masses are more diffuse and do not necessarily find themselves in the same physical setting. Rather, masses are large numbers of people responding to the same set of shared symbols; for instance, the audience for a particular television program constitutes a mass (Lofland, 1981). Collective behavior can occur in masses, just as it does in crowds (or in both at the same time). Fear, hostility, and joy are the basic emotions that can motivate the behavior of both crowds and masses.

公众和舆论

Publics and Public Opinion

集体行为也存在于公众和舆论中。公众被定义为一群分散的、对某个问题拥有共同兴趣或关注，或受某个共同事件影响的人。例如， 《纽约时报》的读者、大学生、电影观众、选民和兄弟会成员都是公众的例子。

Collective behavior is at work in publics and public opinion as well. A public is defined as a scattered collection of people who share a common interest or concern about an issue or who are affected by a common occurrence. The readers of The New York Times, for instance, university students, moviegoers, voters, and members of a fraternity are all examples of publics.

将人群凝聚在一起的纽带是情感，而将公众凝聚在一起的纽带是智力。人群聚集在一个地方，而公众则分散，每个成员只能与少数其他成员直接交流，或者根本不与任何人交流，就像电视公众的情况一样。社交媒体有助于创造和凝聚公众。事实上，在工业化、技术先进的社会中，公众实际上是指庞大的地区性或全国性人口，他们可能成为各种集体行为的观众或参与者。一些大众公众是暂时的，其组成变化很快：周六晚上 7:30 观看电视节目的公众会在 8:00 节目结束时解散。

The bond that holds a crowd together is emotion, whereas the bond that holds a public together is intellect. A crowd is gathered at one place, but a public is dispersed, and each member is able to communicate directly only with a small number of other members—or with none at all, as in the case of the television public. The social media help to create and hold publics together. In fact, in industrial, technologically advanced societies, publics are really mass publics, meaning that they are large regional or national populations who can become potentially either spectators or participants in a variety of collective behaviors. Some mass publics are temporary, their composition changing quickly: the public watching a television program at 7:30 on Saturday night will dissolve at 8:00 when the program ends.

大众的定义可以定义为一个非结构化的集体，其中一些成员对最初使他们成为成员的事件不断失去兴趣，并不断被其他成员取代。

The definition of a mass public may be qualified as an unstructured collectivity in which some members are constantly losing interest in the event that made them members in the first place and are constantly being replaced by others.

公众在复杂社会中比在简单社会中更具特征。原因在于，复杂社会成员构成复杂，利益千差万别。他们不断面临大量地方性和国家性的问题。这些问题可能彼此冲突。一个群体可能希望保护国家森林，而另一个群体可能希望能够狩猎或砍伐森林中的木材。在一个不太复杂的社会中，这类问题不太可能出现：规范和价值观在更大程度上为所有人所共享，很少有人质疑传统的行事方式。

Publics are more characteristic of complex societies than of simple ones. The reason is that complex societies are heterogeneous and members have innumerable and varying interests. They are constantly confronted with a large number of issues of both a local and a national nature. These issues may be at odds with one another. One group may want to preserve our national forests, whereas another may want to be able to hunt game or to log the timber in them. In a less complex society, such issues are not likely to arise: norms and values are shared to a greater extent by all, and very few individuals question the traditional way of doing things.

公众对社会有着重要的影响，尤其因为大众传播如此即时且无处不在。与此同时，后工业社会极大地改变了大众的生活方式。在这个社会中，人们有时间和闲暇从事体育运动和爱好，汽车早已为大众生产，传播媒介不仅用于提供信息，还用于……引发消费主义。大众改变了国家的面貌：各种高速公路、高速公路和道路纵横交错，体育场、高尔夫球场、购物中心和游乐园从东海岸延伸到西海岸。大众也创造了新的产业：快餐、流行音乐、电影等等。计算机的普及和互动性互联网的出现，为大众增添了另一种视角。

Publics exert an important influence on society, particularly because mass communication is so instantaneous and pervasive. At the same time, the lifestyles of mass publics have been greatly changed by the postindustrial society in which there is time and leisure to pursue sports and hobbies, in which automobiles have long been produced for the masses, and in which the media of communication are used not only to inform but also to induce consumerism. Mass publics have changed the outward appearance of the country: highways and freeways and roads of all sorts crisscross it, and stadiums and golf courses, shopping malls, and amusement parks stretch out from coast to coast. Mass publics have also created new industries: fast food, popular music, the movies, and so on. The popularity of the computer and the access to the Internet, which is interactive, adds another perspective to mass publics.

大量公众，各自关注自身的议题或活动、态度和信念，由此形成舆论。舆论是一个通用术语，指大量民众对特定议题的态度或判断。它可以被认为是特定人群中对该议题的主导意见。它在政治领域尤为重要。

The large number of publics, each concerned with its own issue or activity, attitude, and beliefs, gives rise to public opinion. Public opinion is a generic term that refers to the attitude or judgment of a large number of people on a specific issue. It may be thought of as the dominant opinion on that issue among a specific population. It is particularly important in the political sphere.

在以大众为特征的社会中，舆论具有特殊意义，因为舆论通过大众媒体传播。在传统社会中，政府和经济运行遵循统治当局的意志。领导者并不关心社会成员对特定问题的看法。在工业社会中，大多数是民主的、消费导向的，领导者和实业家必须考虑公众对其领导风格（否则他们将无法连任）或其产品（否则将无人购买）的看法。

Public opinion has a special meaning in a society characterized by mass publics because here public opinion is diffused through the mass media. In traditional societies, governments and economies are run according to the will of ruling authorities. The leaders do not care what individual societal members think about specific issues. In industrial societies, most of which are democratic and consumption oriented, the leaders and industrialists must take into consideration what the public thinks about their style of leadership (or they will not be reelected) or their products (or they will not be bought).

舆论与大众媒体

Public Opinion and the Mass Media

舆论反映社会的价值观和态度，这似乎合乎逻辑，但童年时期内化的价值观和态度在人的一生中会保持相当的连续性，而舆论则波动剧烈，有时甚至变化无常。尽管社会可能就某些价值观达成共识，但舆论在任何时候通常都会在各种问题上产生分歧。例如，尽管人们对世界和平与民主的价值达成共识，但舆论总是分为两派，一派认为美国有必要对一个独裁统治的国家进行军事干涉，另一派则认为应该不惜一切代价维护和平。尽管恐怖主义行为普遍令人恐惧，但如何开展反恐战争也导致舆论出现类似的分歧。

It would seem logical that public opinion reflects the values and attitudes of a society, but values and attitudes internalized in childhood remain fairly continuous throughout an individual’s lifetime, whereas public opinion fluctuates, sometimes very rapidly. Although there may be consensus in the society about certain values, public opinion is usually divided at any given time about a variety of issues. For instance, although there is a consensus on the value of world peace and democracy, public opinion is always divided between those who see the necessity of the United States interfering militarily in a nation with an authoritarian dictator, and those who believe peace should be maintained at any cost. How to conduct the war on terrorism is causing similar divisions in public opinion, even though acts of terrorism are universally dreaded.

对公众舆论影响最大的是大众媒体——报纸、电视、电影，以及日益壮大的互联网和其衍生的所有其他媒体。互联网创造了所谓的“社交媒体”，一种在虚拟社区和网络中进行互动交流的方式。在这些社区（仅存在于互联网上）中，人们创造、分享和交流思想和信息。这些虚拟组织的例子包括：Facebook、Twitter、Instagram、YouTube，以及似乎每天都在涌现的众多新组织。

The strongest influence on public opinion is exerted by the mass media—newspapers, television, films, and increasingly the Internet and all the other media it has spawned. The Internet has created the so-called “social media,” an interactive means of communicating in virtual communities and networks. In these communities (which exist only on the Internet), people create, share, and exchange ideas and information. Examples of these virtual organizations are: Facebook, Twitter, Instagram, YouTube, and many new ones that seem to appear every day.

大众媒体和社交媒体的力量如此强大，以至于人们甚至可以说它们创造了舆论。企业利用它们销售产品，政治候选人则塑造“形象”，然后“兜售”给公众。报纸有时会通过揭露市政府腐败或其他一些地方性社会问题来引发公众行动。电影，尤其是电视，也被指责制造舆论。电影和情景喜剧展现了不同阶层的人在不同社会环境下的行为举止。此外，电视以其持续不断的商业广告轰炸，也影响着观众的消费习惯。广告不仅是一个价值数十亿美元的产业，而且在某种程度上也成为了一门科学，能够将信息浓缩成一张图片和一瞬间的“片段”。消费者通过这种方式，不仅购买牙膏或汉堡，还购买政治候选人，包括国家最高职位——总统的候选人。这种方法显然存在风险，因为这些销售技巧可以克服主要群体、参照群体、职业群体和地位群体的影响（参见第四章）。你可以在著名社会学家C·赖特·米尔斯的《大众社会》一书中了解更多关于公众的内容：www.thirdworldtraveler.com/Book_Excerpts/MassSociety_PE.html。

Mass and social media are so powerful that it may be said that they create public opinion. Businesses sell their products using them, and candidates for political office create an “image” that they can “sell” to the public. Newspapers sometimes prompt public action by exposés of corruption in city government or some other local social problem. Motion pictures, but especially television, have also been accused of creating public opinion. Movies and situation comedies show how different classes of people, in different social settings, behave. Television, in addition, with its constant barrage of commercials, also influences the consumption habits of the viewing public. Advertising is not only a multibillion-dollar industry, but it has also become somewhat of a science, able to reduce a message to an image and a fraction-of-a-second “bite.” Consumers, in this way, buy not only toothpaste or hamburgers but also political candidates, including candidates for the highest office in the land, the presidency. There are obvious dangers lurking in such methods because these selling techniques can overcome the influences of primary, reference, occupational, and status groups (see Chapter 4). You can read much more on publics in The Mass Society, by C. Wright Mills, a well-known sociologist: www.thirdworldtraveler.com/Book_Excerpts/MassSociety_PE.html.

图片 10.5新闻和舆论通过大众媒体传播，除了老式的报纸和杂志外，现在还包括智能手机、iPad 和 Kindle。

IMAGE 10.5 News and public opinion are distributed through the mass media, which now include smartphones, iPads, and Kindles, in addition to old-fashioned newspapers and magazines.

iStock：© pixdeluxe

iStock: © pixdeluxe

宣传与审查

Propaganda and Censorship

能够操纵舆论对社会上的某些个人和群体大有裨益。汽车制造商希望公众购买他们的汽车。政治候选人希望当选。教师希望提高工资。执政的政府希望获得公民的支持。宗教组织希望其成员遵守信仰的戒律。所有这些团体，以及无数其他团体，都通过宣传和审查来影响舆论。

Being able to manipulate public opinion is of great benefit to some individuals and groups in society. Car manufacturers want the public to buy their cars. Political candidates want to be elected. Teachers want their salaries increased. The administration in office wants to have the citizens’ support. Religious organizations want their members to follow the precepts of their faith. All these groups, and countless more, exert influence on public opinion through propaganda and censorship.

宣传是故意试图说服某人不加批判地接受某种信仰，或做出某种选择而非其他选择。广告、促销、公共关系、政治运动、筹款活动、广告牌，甚至主日学课程都运用了宣传手段。当宣传不试图过分彻底地改变人们的观点时，它往往非常成功。然而，在民主社会中，为特定人物或产品进行宣传的商家面临着激烈的竞争。公众的教育程度和成熟度进一步限制了宣传的有效性。最后，尽管强大的趋势可能会被宣传暂时抑制，但最终它们不会受到影响。

Propaganda is a deliberate attempt to persuade a person to accept a particular belief uncritically or to make a certain choice rather than another. Advertising, sales promotions, public relations, political campaigns, fund-raising drives, billboards, and even Sunday school lessons use propaganda. Propaganda is quite successful when it does not attempt to change the opinions of people too drastically. However, in democratic societies, those involved in propaganda for a specific person or product have a lot of competition. The education and sophistication of the public further limit the effectiveness of propaganda. Finally, although strong trends may be temporarily thwarted by propaganda, ultimately they are not affected by it.

由于宣传片面解读某个问题，或只展现产品好的一面，它扭曲了公众可获得的信息。另一方面，审查制度会删除全部或部分信息。我们许多重要的机构组织都使用审查制度。某些怀有自身目的的团体会要求我们将某些书籍从图书馆书架上撤下，因为他们不认可或不同意他们的意见。内容（在极权主义政权下，书籍审查以及所有艺术形式的审查十分普遍）。政府和军事机构以国家安全和国防的名义隐瞒信息。家庭和宗教组织往往会审查一些与性有关的信息。政治候选人只告诉我们他们想让我们知道的关于他们自己以及他们上任后的意图的事情。制造商选择不告诉我们，他们出售的汽车或冰箱是每隔几年就必须更换一次的。大众媒体只报道一些新闻，而没有报道其他新闻。宣传和审查本身无所谓好坏，但两者都可能被用于对人们有利或有害的用途。有关纳粹宣传和审查的信息，请访问：www.ushmm.org/outreach/en/article/php ?Moduleld=10007677 。

Because propaganda gives a one-sided interpretation of an issue or shows only the good side of a product, it distorts the information available to the public. Censorship, on the other hand, deletes all or parts of the information. Many of our important institutional organizations use censorship. Certain groups with their own agenda would have us pull specific books off library shelves because they do not approve of, or agree with, their contents (book censorship, as well as censorship in all forms of art, is extensive in totalitarian regimes). The government and the military institutions withhold information in the name of national security and defense. Families and religious organizations tend to censor some information regarding sex. Political candidates tell us only what they want us to know about themselves and their intentions once in office. Manufacturers choose not to tell us that the car or the refrigerator they are selling us is built so that it must be replaced every few years. The mass media report some and fail to report other news. In and of themselves, propaganda and censorship are neither good nor bad, but both may be put to uses that are either beneficial or detrimental to people. Read about Nazi propaganda and censorship at: www.ushmm.org/outreach/en/article/php?Moduleld=10007677.

社会运动

Social Movements

不到一百年前，一股强大的浪潮席卷了俄国全能沙皇尼古拉一世的专制帝国，甚至推翻了几个世纪以来对人民拥有绝对权力的根深蒂固的政府。在这个过程中，一个落后的农业社会一跃成为世界两大超级大国之一。1991年秋，第二次地震再次袭击了这个社会，很快，全世界都震惊地看到，人们开始推倒前政权英雄们的巨大雕像。随着雕像的倒塌和轰然落地，人们不禁思考，究竟是什么力量推动了如此剧烈的变革。这些力量是什么？它们是如何产生的？它们最终为何衰落，又是如何衰落的？（我们刚刚在一些阿拉伯或穆斯林国家见证了类似的“革命”，但这些社会最终将如何转型，我们不得而知。）

A little less than 100 years ago, the autocratic empire of the all-powerful Czar Nicholas of Russia was swept away by a tide so strong that it was able to overcome an entrenched government that had wielded absolute power over the people for centuries. In the process, a backward, agricultural society was transformed into one of the two world superpowers. In the fall of 1991, a second quake shook the same society, and soon the world watched in wonder as crowds began to pull down the huge statues of the heroes of the preceding regime. As falling idols came crashing to the ground, one could not help but speculate about the forces that impelled such dramatic changes. What are these forces, how do they come into being, and why and how do they eventually decline? (We have just witnessed such “revolutions” in a number of Arab or Muslim nations, though it is unknown how these societies will ultimately be transformed.)

社会运动是促成变革的主要方式之一。社会运动是一种对社会影响最大的集体行为。社会运动被定义为“建立新生活秩序的集体行动”（Blumer，1951，200），也指改变社会文化秩序或抵制这种变革的集体努力（Killian，1964，430）。这类集体行动体现了个人的亲身参与及其在引导、改变方向、促进或抵制变革方面的干预。

One of the principal ways in which change is effected is by social movements. Social movements are a type of collective behavior that leaves the greatest impact on societies. Social movements are defined as “collective enterprises to establish a new order of life” (Blumer, 1951, 200), as well as collective efforts either to change the sociocultural order or to resist such change (Killian, 1964, 430). This type of collective action represents the personal involvement of individuals and their intervention in directing, redirecting, furthering, or resisting change.

当存在以下因素时，集体行动可被视为社会运动：（1）它具有特定的意识形态；（2）它唤醒了强烈的理想主义和团结感，需要追随者的奉献和忠诚；（3）有行动导向；（4）参与人数众多。

A collective action may be considered a social movement when the following factors are present: (1) it has a specific ideology; (2) it awakens a strong sense of idealism and solidarity, involving dedication and loyalty in followers; (3) there is an orientation toward action; and (4) a significant number of people are involved.

虽然有些社会运动几乎完全没有组织，但大多数社会运动都是以自愿团体或协会的形式进行的。这些是为实现明确目标而组织起来的次要团体（参见第四章）。社会运动和自愿团体都是正在经历快速社会变革的城市工业社会的特征。在一些国家，社会运动发展成为政党，通过获取政治权力来实现其目标。马克思主义就是一个例子，它是一种意识形态，在许多社会中引发了社会运动，在一些社会中获得了政治权力，但后来又失去了。在其他国家（例如美国），这种意识形态的目标一直由从未获得政治权力的自愿协会来追求。在其他国家（例如法国、意大利、葡萄牙），它已成为一个在议会中有代表的政党。最后，在前苏联、中华人民共和国和朝鲜，该运动已成为执政党（尽管意识形态有所调整），而在智利，它虽然上台了，但后来被推翻。

Although some social movements are almost entirely unorganized, most are pursued in voluntary groups or associations. These are secondary groups (see Chapter 4) organized for attaining a definite goal. Both social movements and voluntary groups are characteristic of urban industrial societies that are experiencing rapid social change. In some nations, social movements develop into political parties, pursuing their goals by attaining political power. Marxism is an example of an ideology that has prompted social movements in a number of societies, and in some has attained—and later lost—political power. In other nations—such as the United States—the goals of this ideology have been pursued in voluntary associations that never acquired political power. In still other countries—France, Italy, Portugal—it has become a political party represented in Parliament. Finally, in the former Soviet Union, as well as in the People’s Republic of China and in North Korea, the movement had become the party in power (although with alterations of the ideology), whereas in Chile, it came to power but was subsequently overthrown.

社会运动的类型

Types of Social Movements

根据人们看待社会运动的方式，它们可以分为四类：替代型、救赎型、改良型和革命型。替代型社会运动的一个例子是像计划生育联合会这样的组织，其关注的是人口增长，其目标是影响育龄人群实行生育控制并对自己的性行为负责。救赎型运动也会影响社会中的特定群体，而非整个社会，但其目标是彻底改变个人。原教旨主义基督教就是这样一种运动，皈依者认为自己获得了重生。与救赎型运动略有关联的是表达型运动，其目标群体是那些被期望做出改变以促进社会变革或更好地适应社会现状的个人。表达型运动通常本质上是宗教性的，但它们也可能变得相当具有革命性，例如伊朗的伊斯兰革命。另一方面，它们也可能是世俗的，例如20世纪70年代流行的众多人类潜能运动。这些运动的目的是为了实现个人的自我实现。

According to how one views social movements, they can be classified into four types: alternative, redemptive, reformist, and revolutionary. An example of an alternative social movement is an organization such as Planned Parenthood, whose concern is population growth and whose goal is to influence people of child-bearing age to practice birth control and take responsibility for their sexual conduct. Redemptive movements also affect selected segments of the society and not the whole society, but here the attempt is at a radical transformation of the individual. Fundamentalist Christianity is such a movement, and converts perceive themselves as having been born again. Somewhat related to the redemptive type are expressive movements, which are directed at individuals who are expected to change in such a way that they will work toward changes in society or adapt better to society as it is. Expressive movements are often religious in nature, but they can also turn quite revolutionary, as in the case of the Islamic revolution in Iran. On the other hand, they may be secular, as exemplified by the numerous human potential movements that were popular in the 1970s. These movements were designed to achieve self-fulfillment for the individual.

改革派和革命运动

Reformist and Revolutionary Movements

对社会及其政府影响最大的两大社会运动是革命运动和改良运动（或称改革运动）。改革运动试图改变现有社会秩序的某些特征，但并非彻底改变整个秩序。它们希望改变社会，但其方式有限。这类运动在民主社会中最为成功，因为民主社会拥有相对自由的批评制度，并且存在着实施改革的渠道。改革运动可能是进步的，即希望促进新的社会模式；也可能是反动的，即希望维持现状或回归过去的模式。美国的改革运动包括妇女运动、民权运动以及消除同性恋社会污名的运动（见表10.1）。一群自称“茶党”的人表达了对现任政府及其行为的厌恶：他们希望回到过去的历史时代，在他们看来，那个时代比现在更优越。他们可能被视为反动的社会运动。

The two social movements that have had the most influence on societies and their governments have been the revolutionary and the reformist, or reformative, movements. Reform movements attempt to change some feature of an existing social order without changing the entire order. They want to change the society, but in a limited way. Such movements are most successful in democratic societies, where there is relative freedom to criticize institutions, and channels exist through which reforms can be put into effect. Reform movements may be progressive, in the sense of wanting to promote new social patterns, or they may be reactionary, in the sense of wanting to preserve the status quo or return to past patterns. Reform movements in the United States have included the women’s movement, the civil rights movement, and the movement to remove the social stigma of homosexuality (see Table 10.1). A movement of people who call themselves the Tea Baggers assert their disgust with the current government and its actions: they want to return to a previous historical era that was, in their minds, superior to the present. They may be considered a reactionary social movement.

社会运动是影响公众舆论的最重要因素之一。如果我们将所有形式的集体行为置于一个连续统一体中，并根据其对社会的影响程度进行排序，那么革命将处于一个极端，而时尚和狂热则处于另一个极端。二十世纪，俄国和中国的革命带来了共产主义政权，并彻底改变了其发生地的社会；法西斯运动则给欧洲社会带来了革命性的影响。另一方面，尽管有些人会深深地卷入时尚或狂热，但后者都不能说在社会上留下了不可磨灭的印记。

Social movements exert one of the strongest effects on public opinion. If we were to put all forms of collective behavior on a continuum that ranked them on the extent of their effect on societies, revolutions would be at one extreme, and fads and crazes would be at the other. In the twentieth century, there were the Russian and Chinese revolutions, which brought in communist regimes and radically altered the societies in which they occurred, and a fascist movement, which had revolutionary consequences in European societies. On the other hand, despite the fact that some people become deeply involved in a fad or craze, none of the latter can be said to have left an indelible mark on society.

革命运动认为现行社会秩序如此不完善、腐败、不公，无可救药，因此寻求彻底废除并取而代之。为了实现这种彻底的变革，革命运动往往必须诉诸暴力。在民族主义革命运动中，一个主要由外国统治的政府被推翻，并由本国政府取而代之。阶级革命运动在同一社会中用一个统治阶级取代另一个统治阶级。美国在脱离英国时经历了一场民族主义革命，而法国、俄罗斯、中国和古巴则经历了阶级革命。革命运动不应与起义或政变混淆，后者仅仅是取代统治阶级的个别成员。革命改变了主要社会制度的结构。

Revolutionary movements consider the present social order so inadequate, corrupt, unjust, and beyond salvation that they seek its total removal and substitution. In effecting such absolute change, revolutionary movements must often resort to violence. In nationalistic revolutionary movements, a predominantly foreign government is overthrown and replaced with a native one. Class revolutionary movements substitute one ruling class for another in the same society. The United States experienced a nationalistic revolution when it separated itself from England, whereas France, Russia, China, and Cuba underwent class revolutions. Revolutionary movements should not be confused with revolts, or coups d’état, which merely replace individual members of the ruling class. Revolutions change the structure of the major social institutions.

表 10.1 最重要的美国社会运动

TABLE 10.1 The Most Important American Social Movements

姓名

Name

描述

Description

废奴主义者

Abolitionist

在内战前三十年的北方各州，寻求废除所有州和领地的奴隶制。

In the northern states during the three decades preceding the Civil War; seeking the abolition of slavery in all of the states and territories.

民粹主义者

Populist

19 世纪 80 年代和 90 年代，美国南部和西部心怀不满的农民寻求政府对铁路、银行、粮仓和廉价资金的供应进行控制。

Disaffected farmers in the South and the West in the 1880s and 1890s sought public control over railroads, banks, grain elevators, and the provision of cheap money.

劳动

Labor

工人为保住工作、确保充足的工资和福利以及保障健康的工作环境而做出的努力。工会建设在19世纪80年代、90年代和20世纪30年代尤为突出。

The effort of workers to protect jobs, to ensure adequate wages and benefits, and to guarantee a healthy work environment. Union building was particularly prominent during the 1880s, 1890s, and 1930s.

妇女选举权

Women’s Suffrage

这场运动是为了争取妇女的投票权而兴起的，活跃于十九世纪末二十世纪初。

This movement emerged to win voting rights for women. Active in the late nineteenth and early twentieth centuries.

公民权利

Civil Rights

这场运动旨在为非裔美国人争取公民权利和政治权利，在20世纪60年代尤为有效。

The purpose of this movement was to win civil and political rights for African Americans. It was especially effective during the 1960s.

反越战

Anti Vietnam War

20 世纪 60 年代末到 70 年代初，这场运动的目的是反对美国继续卷入越南战争。

During the late 1960s and early 1970s, this movement was directed against the continued involvement of the United States in the Vietnam War.

妇女解放运动或

Women’s Liberation or

一场旨在争取美国妇女在各个方面享有平等权利的运动

A movement attempting to gain equality for women in all aspects of American life during the

女权运动

Feminist Movement

1970 年代和 1980 年代以及现在。

1970s and 1980s and currently.

反核

Antinuclear

20 世纪 70 年代和 80 年代期间周期性活跃的一场世界性运动，旨在结束核军备竞赛（例如“冻结”运动）和核电站的建设。

A world movement, periodically active during the 1970s and 1980s, to end the nuclear arms race (e.g., “The Freeze” campaign) and the construction of nuclear power plants.

环境的

Environmental

它在 20 世纪 70 年代开始兴起，并且发展势头强劲；它的目标包括控制污染、保护荒野地区，尤其是应对全球变暖。

Came to prominence in the 1970s and is growing in momentum; its goals range from control of pollution to protection of wilderness areas, and especially to counter global warming.

宗教原教旨主义者

Religious Fundamentalist

这是美国历史上宗教原教旨主义以政治形式出现的最新例子；它成为 20 世纪 70 年代和 80 年代以及 2000 年和 2004 年保守派政纲的一部分，帮助罗纳德·里根、乔治·布什和乔治·W·布什赢得了选举，他们在竞选口号中承诺保护家庭和基督教道德价值观。

The latest of many examples of religious fundamentalism to take political form in American history; became part of the conservative platforms of the 1970s and 1980s, as well as 2000 and 2004, aiding the electoral victories of Ronald Reagan, George Bush, and George W. Bush, who used campaign slogans promising to protect family and Christian morality values.

茶党运动？

The Tea Party movement?

问号表明茶党并非一场真正的社会运动——至少目前还不是。该组织成员近98%为白人，以男性为主，年龄主要在45岁至65岁之间。他们往往经济富裕，受过良好教育，且就业良好。他们只是不喜欢现任政府处理赤字、移民、金融实体监管、扶贫项目、同性婚姻等问题的方式。他们的口号是“夺回美国”。从这个意义上讲，他们类似于一场抵制变革的运动，但迄今为止，他们缺乏全国性的组织。

The question mark indicates that the Tea Party is not a real social movement—at least not yet. It consists of almost 98 percent white persons, mainly male, and mainly between 45 and 65. They tend to be well off, fairly well educated, and employed. They simply do not like the way the current administration is handling issues such as the deficit, immigration, regulation of financial entities, programs that help the poor, same-sex marriage, and so on. Their mantra is that they want to ”take America back.„ In this sense, they resemble a change-resistant movement, but so far they lack organization on a national level.

鼓励革命运动的因素

Factors Encouraging Revolutionary Movements

加入革命运动的诱因与人们加入不那么激进的社会运动的诱因相似，但促使人们加入革命运动的条件可能被认为是极端的。革命运动在极权主义社会中比在民主社会中更具特征，因为在民主国家，舆论和改良运动会向政府施加压力，最终促成大多数人所期望的变革。在极权主义政权下，舆论往往被忽视，社会运动也不被容忍。人们认为他们能够带来变革的唯一途径就是推翻政府。在这种尝试中，成功与否永远不确定。

The predisposing factors to joining revolutionary movements are similar to those predisposing people to join less radical social movements, but the conditions that prompt a person to join a revolutionary movement may be perceived as being extreme. Revolutionary movements are more characteristic of totalitarian societies than they are of democratic ones because in democracies, public opinion and reformist movements exert pressure on the government, so that eventually changes desired by a majority of the people occur. In totalitarian regimes, public opinion is often ignored, and social movements are not tolerated. People feel the only way they can effect change is by overthrowing the government. In this attempt, success is never certain.

革命最重要的条件是人们普遍认识到合法政府已经失败，必须不惜一切代价实现变革。这种情况被称为合法性危机。

The most important condition for revolution is the widespread realization that the legitimate government has failed, and it is necessary to bring about change at any cost. This condition is called a crisis of legitimacy.

革命运动之所以声名狼藉，是因为它们反映了人们对变革进展过慢的不满。然而，一些运动反映了一些群体认为变革发生得太快的信念。这些运动被称为“抗拒变革”运动，其目的是阻止或消除社会中的某些变革。活跃于上个世纪的三K党就是抗拒变革运动的一个例子，此外还有许多其他类似的运动。

Revolutionary movements receive considerable notoriety because they reflect the discontent of people who believe that change is occurring too slowly. However, some movements reflect the belief of groups that change occurs too rapidly. These movements are called change-resistant, and their purpose is to stop or eradicate certain changes in society. The Ku Klux Klan, active in the last century, is an example of a change-resistant movement, and there are many others.

社会运动的有效性取决于其能够组建和维持的组织类型，以及其对社会的影响力。尽管每个运动都独具特色，但似乎都经历了四个明确的阶段（Blumer，1946/1969；Mauss，1975）。在第一阶段，即涌现阶段，社会中某一群体对特定问题的不满被某个团体或个人指出，并引起公众关注。在第二阶段，即凝聚阶段，领导者必须制定战略，制定政策，与其他团体结盟，招募新成员——换句话说，他们必须激发公众兴趣，并将自己的愿景传播给整个社会。在第三阶段，即官僚化阶段，有必要建立一个正式的组织，以确保运动的日常工作能够有序进行。尽管官僚化能够增强运动的稳定性和持久性，但它有时会阻碍运动的发展，因为建立组织所需的技能与维持成员的热情所需的技能并不相同（Piven & Cloward，1995）。在第四阶段，也是最后一个阶段，社会运动走向衰落。衰落可能对运动本身有利，即通过制度化。或者，如果一场运动达到了目标，它就不再需要存在，因此会分崩离析（但这种情况很少发生，因为大多数运动并非以单一议题为导向）。最后，运动的领导者可能会因既定权力结构的诱惑而放弃其努力。这个过程被称为“收买”。而运动本身也可能成为权力结构的一部分。

The effectiveness of social movements depends on the type of organization they are able to form and maintain and how deep their influence is on the society. Although each movement is unique, it seems that all move through four definite stages (Blumer, 1946/1969; Mauss, 1975). In the first stage, emergence, dissatisfaction in a segment of the society with regard to a specific issue is pinpointed by a group or an individual, who brings it to public attention. In the second stage, coalescence, leaders must plan a strategy, determine policies, make alliances with other groups, solicit new members—in other words, they must build interest and spread their vision to the society at large. In the third stage, bureaucratization, it becomes necessary to establish a formal organization so that the everyday work of the movement can proceed in an orderly fashion. Although it adds stability and longevity to a movement, bureaucratization sometimes holds it back because building an organization does not require the same skills as keeping the enthusiasm of the members (Piven & Cloward, 1995). In the fourth and last stage, social movements decline. This can happen in a positive way for the movement, that is, through institutionalization. Or, if a movement reaches its goal, it has no further need to exist, and so it breaks apart (but this seldom happens because most movements are not single-issue oriented). Finally, the leaders of a movement may be diverted from their efforts by enticements offered by the established power structure. This process is called co-optation. And the movement itself may become a part of the power structure.

社会运动主要源于相对剥夺感和不断上升的期望。当人们与他人比较，发现自己在比较中处于劣势时，他们会感到相对被剥夺。不断上升的期望的失败也与基于相对剥夺感的不满有关。当社会生活水平提高时，人们会经历不断上升的期望，但并非所有人群都能如此。换句话说，随着生活水平的提高，人们开始将所有改善视为理所当然，并不断期待更多。

Social movements originate mainly as a result of relative deprivation and rising expectations. People feel relatively deprived when they compare themselves with others and find themselves to be suffering in the comparison. The failure of rising expectations is also related to dissatisfaction based on relative deprivation. Rising expectations are experienced when the standard of living goes up in a society, but not for all segments of the population. As life gets better, in other words, people begin to take all the improvements for granted and continue to expect more.

社会运动在经历快速变革的社会中蓬勃发展，因为人们更容易感受到失范和疏离感。失范是一种无规范，即当多种规范并存时，不知该遵循哪些行为准则。疏离感是一种与社会分离、无力感和孤立感，它使个体确信自己无法左右自己的命运。有失范感和疏离感的人容易被社会运动所吸引，那些对各种原因感到不满、焦躁不安、困惑不已、需要生活重心的人也容易被社会运动所吸引。

Social movements flourish in societies that are undergoing rapid social change, as people become subject to feelings of anomie and alienation. Anomie is a feeling of normlessness, of not knowing which behavioral guidelines to follow when several sets of norms coexist. Alienation is a feeling of separateness from society, of powerlessness and isolation, which convinces individuals that they are unable to influence their own fate. People who have feelings of anomie and alienation are attracted to social movements, as well as those who are dissatisfied on a variety of grounds, who are restless and confused, and who need some focus in their lives.

社会运动的阶段

Stages of Social Movements

图 10.1

FIGURE 10.1

美国当代社会运动往往关注全球性议题，例如环境、核扩散威胁、妇女权利、同性恋权利、动物权利等等。由于立法权集中在政府手中，大多数新兴社会运动都具有全国性和国际性。此外，新兴社会运动往往关注生活质量，而非像旧时的劳工运动那样关注经济福祉。因此，这些运动吸引的是中产阶级而非工人和贫困阶层的关注和支持。然而，在其他社会，社会运动则涉及民族主义、种族或宗教问题。更多关于社会运动的信息，请访问：www.culturalpolitics.net/social_movements。

Contemporary social movements in the United States tend to have global concerns: the environment, the danger of nuclear proliferation, women’s rights, gay rights, animal rights, and similar issues. Because power to legislate is centralized in the government, most of the new social movements are national and international in scope. Additionally, the new social movements have a tendency to focus on issues regarding the quality of life, rather than on issues of economic well-being, such as the labor movement of old did. As a result, these movements attract the interest and support of middle-class people instead of workers and the dispossessed. In other societies, however, social movements involve issues of nationalism, ethnicity, or religion. More information on social movements may be found on: www.culturalpolitics.net/social_movements.

恐怖主义

Terrorism

有一种社会运动难以定义，但由于其影响范围遍布全球，已对许多国家构成威胁，那就是恐怖主义。根据美国法律，“‘恐怖主义’一词是指由次国家组织或秘密特工针对非战斗目标实施的有预谋的、出于政治动机的暴力行为，通常旨在影响受众。” 恐怖主义并非新生事物，但过去它仅限于某些国家——北爱尔兰的爱尔兰共和军、西班牙的埃塔、秘鲁的图帕克·阿马鲁（光辉道路）、意大利的红色旅——这些国家都有明确的意识形态和目标。而如今，恐怖主义已成为由定义不明确的团体、意识形态和目标不明确的团体组成的跨国运动。定义恐怖主义的困难在于，参与恐怖主义行为的团体种类繁多。其中一些团体可能被认为是试图发动民族主义革命、建立新形式的政府，或试图摆脱被视为殖民者或占领者的政府而获得独立。其他团体可能被视为反动社会运动，因为它们拒绝现代化带来的变革，并试图恢复旧的统治形式，主要是古老的神权政治。后者似乎是威胁西方，尤其是美国的恐怖组织的意图。人们常说“一个人眼中的恐怖分子，是另一个人眼中的自由战士”，这意味着对于那些认同恐怖分子目标的人来说，他们的行动似乎是正当的。然而，这些行动导致了无数无辜者的死亡，而这些人与恐怖分子的怨恨无关。任何伦理或道德体系都无法为此类行为找到正当理由。

One type of social movement that is difficult to define but that has become a threat to many countries because its arena is global is terrorism. According to United States law, “the term ‘terrorism’ means premeditated, politically motivated violence perpetrated against noncombatant targets by subnational groups or clandestine agents, usually intended to influence an audience.” Terrorism is not new, but whereas in the past it had been limited to individual countries—the IRA in Northern Ireland, the ETA in Spain, the Tupac Amaru (Shining Path) in Peru, the Red Brigades in Italy—with definite ideologies and goals, today terrorism has become a transnational movement of ill-defined groups with ill-defined ideologies and ill-defined goals. The difficulty in defining terrorism lies in the fact that so many different groups engage in terrorist acts. Some of these groups may be thought of as attempting to begin nationalistic revolutions, efforts to bring in new forms of government, or to gain independence from governments perceived as colonial or occupying. Other groups may be considered reactionary social movements, in that they reject changes associated with modernization and try to bring back older forms of rule, mostly ancient theocracies. The latter seems to be the intent of the terrorist groups that threaten the West and especially the United States. It has often been said that “one man’s terrorist is another man’s freedom fighter,” meaning that to those who agree with the terrorists’ goals, their actions appear justified. However, those actions result in the death of innumerable numbers of innocent people who have nothing to do with whatever grievance the terrorists have. No ethical or moral system can find justification for such acts.

变化是生活不可或缺的一部分，尽管一定程度的稳定性同样是个人、社会和文化的特征。社会文化变迁的机制比其原因更容易确定。文化变迁的主要过程是发现、发明和传播。社会结构的变化——或者说社会变革——是通过规划、改革和革命来实现的。变革的根源包括物质环境、人口规模和结构、意识形态、事件和个人、社会运动和技术。

Change is an integral part of life, although a degree of stability is equally characteristic of individuals, societies, and cultures. The mechanisms of sociocultural change are easier to determine than its causes. The principal processes of cultural change are discovery, invention, and diffusion. Change in the structure of society—or social change—occurs through planning, reform, and revolution. Sources of change include the physical environment, the size and structure of populations, ideology, events and individuals, social movements, and technology.

社会文化变革主要由技术进步引发。技术涵盖所有帮助人类管理和控制环境的方法和设备。第一个技术突破是农业的发明。第二个技术突破是机器时代的到来，即工业革命。尽管这场运动在18世纪中叶在英国加速发展，但其根源可以追溯到几个世纪以前。它的影响至今仍在世界各地显现。工业革命带来的最显著变化是人口增长、工业化和城市化的迅猛发展。

Sociocultural change has been triggered chiefly by technological progress. Technology includes all the methods and devices that help humans manage and control their environment. The first technological breakthrough was the invention of agriculture. A second was the advent of the machine era, or the Industrial Revolution. Although this movement accelerated in the middle of the eighteenth century in Great Britain, its roots go back several centuries. Its effects are still being felt by the world. The most significant changes brought about by the Industrial Revolution are a surge in the growth of population, industrialization, and urbanization.

现代化是现代工业社会中发生的一种变革。它意味着从农业和前工业化生产方式向工业化生产方式的转变，对所有社会来说都是一个艰难的过程。在进展缓慢的地方，它最终融入了现有的社会秩序。在进展迅速的地方，则出现了严重的政治不稳定和其他形式的混乱。在现代工业社会中，技术进步的速度达到了历史上最快的水平。

Modernization is the kind of change that occurred in modern industrial societies. It has meant the transition from an agricultural and preindustrial to an industrial mode of production and has been a difficult process in all societies. Where it occurred slowly it was eventually integrated into the existing social order. Where it occurred rapidly, there has been great political instability and other forms of dislocations. In modern industrial societies, technological progress has occurred at the most rapid rate in history.

技术彻底改变了人们的生活，无论是物质层面还是文化价值观层面。事实上，技术如此重要，以至于一些思想家推测，技术决定了一个社会的文化、结构和历史。

Technology has radically altered people’s lives both physically and in the area of cultural values. It has been so important, in fact, that some thinkers speculate that it determines a society’s culture, structure, and history.

与传统社会相比，科技发达的社会更容易受到各种集体行为的影响。集体行为通常发生在情绪高度激昂、常规规则不适用的情境中。这类情境包括人群聚集（暴乱、暴民、恐慌）、谣言、时尚、潮流、狂热、公众和观众、舆论、宣传和审查以及社会运动。集体行为相对而言缺乏模式化和结构化。

Technologically advanced societies are more often subject to various forms of collective behavior than are traditional societies. Collective behavior occurs in situations that are highly charged with emotion and in which the usual norms do not apply. Such situations include crowds (riots, mobs, panics), rumors, fashions, fads, crazes, publics and audiences, public opinion, propaganda and censorship, and social movements. Collective behavior is relatively unpatterned and unstructured.

群体是一群对共同刺激做出反应的人的集合。群体可以是随意的，也可以是有组织的，可以是表达性的，也可以是表演性的。群体中的人们会形成一种共同的情绪，并形成一种关于当下行为的共同理念。群体是暂时的，其成员保持匿名和非人性化。因此，群体可以犯下暴行，而不会感到内疚。

Crowds are assemblies of people who respond to a common stimulus. Crowds may be casual or organized, expressive or acting. People in them develop a common mood and a shared concept of how to behave at the moment. Crowds are temporary, and their members remain anonymous and impersonal. Therefore, crowds can commit atrocities without their members feeling guilty.

公众——一群暂时对某个问题拥有共同兴趣或关注点的分散人群——也是一种集体行为。发达社会中大量的公众形成了舆论，即大多数人对特定问题的态度或判断。舆论在民主社会中尤为重要，并深受大众媒体的影响。大众媒体有时会利用宣传和/或审查来操纵舆论。宣传是故意试图说服人们不加批判地接受某种信念或做出某种特定选择。审查则通过压制或删除部分或全部信息来扭曲信息。

Publics—scattered collections of people who temporarily share a common interest or concern about an issue—are also a form of collective behavior. The large number of publics in advanced societies generates public opinion, which is the attitude or judgment of a majority of people on a specific issue. Public opinion is especially important in democratic societies and is greatly influenced by the mass media. The latter sometimes use propaganda and/or censorship to manipulate public opinion. Propaganda is a deliberate attempt to persuade people to accept a belief uncritically or to make a specific choice. Censorship distorts information by suppressing or deleting parts or all of it.

社会运动是建立新生活秩序的集体尝试——要么改变社会秩序，要么抵制变革。社会运动中的重要因素是观点和意识形态的转变。社会运动根植于不满情绪，并在社会经历失范、疏离、相对剥夺和期望值上升时蓬勃发展，但其目标是寻求长远的解决方案。其最终目标是推动变革，直至制度化。社会运动可以尝试改革，只改变现有社会秩序的某些特征；也可以是革命性的，寻求消除现有秩序，用新秩序取而代之。社会运动的阶段包括兴起、合并、官僚化、制度化和/或衰落。

Social movements are collective attempts to establish a new order of life—either to change the social order or to resist change. Important factors in social movements are changing perspectives and ideologies. Social movements are rooted in discontent and flourish when a society experiences anomie, alienation, relative deprivation, and rising expectations, but their goals are long-range solutions. The ultimate aim is to effect change to the point that it becomes institutionalized. Social movements may attempt reforms by trying to change only some features of an existing social order, or they may be revolutionary, seeking the removal of a present order and substitution with a new one. The stages in social movements include emergence, coalescence, bureaucratization, institutionalization, and/or decline.

有一种社会运动很难被定义，那就是恐怖主义。它指的是针对非战斗目标实施的有预谋的、出于政治动机的暴力行为。它或许被认为是民族主义的、革命性的，但也可能是反动的。无论其目标是什么，由于其造成的无辜受害者人数众多，它都无法被证明是正当的。

A type of social movement that is very difficult to define is terrorism. It refers to premeditated, politically motivated violence perpetrated against noncombatant targets. It may be considered nationalistic and revolutionary, but also reactionary. Whatever its goals, it is impossible to justify it because of the number of innocent victims it takes.

疏离感： 一种无力感、不安全感，觉得自己在社会中不属于某个群体，从而产生厌倦感和无意义感。疏离感为社会运动提供了沃土，也是大众社会人群的特征。

alienation A feeling of powerlessness and insecurity, of not belonging in society, producing boredom and meaninglessness. Alienation provides a fertile ground for social movements and is characteristic of people in mass society.

替代运动 关注特定问题并提供特定解决方案的社会运动。

alternative movement A social movement concerned with a specific problem and offering specific remedies.

官僚化 社会运动的第三阶段。

bureaucratization The third stage of a social movement.

审查制度 一种用于限制向公众提供的信息的控制方法。

censorship A method of control used to limit the information available to the public.

抵制变革运动 一场社会运动，反映了人们对变革发生得太快并希望阻止或扭转变革的不满。

change-resistant movement A social movement reflecting the discontent of people who believe that change is occurring too rapidly and want to stop it or reverse it.

阶级革命运动 在同一社会中，一个统治阶级被另一个统治阶级取代的革命社会运动。

class revolutionary movement A revolutionary social movement in which one ruling class is replaced with another in the same society.

联合社会运动的第二阶段。

coalescence The second stage of a social movement.

集体行为 指在人群、暴民、时尚、潮流、狂热、谣言、恐慌以及公众、舆论和社会运动中容易发生的行为类型。它是指一群人在通常暂时、不稳定、非结构化和不可预测的条件下对共同刺激做出反应，因此现有规范不适用。

collective behavior Type of behavior that tends to occur in crowds, mobs, fashions, fads, crazes, rumors, panics, and in publics, public opinion, and social movements. It is characteristic of a collectivity of people who are responding to a common stimulus under conditions that are usually temporary, unstable, unstructured, and unpredictable, so that existing norms do not apply.

合法性危机 大多数人意识到合法政府已经失败，需要进行变革的状态。

crisis of legitimacy A condition in which a majority of people realize that the legitimate government has failed and it is necessary to bring about change.

人群： 一群人在同一时间、同一地点聚集在一起，无论是偶然聚集还是出于预定原因，对共同刺激做出反应。人群可能是表达性的，也可能是表演性的。表演性的人群可能会发展成恐慌、暴动或骚乱。

crowd An aggregate of people gathered in the same place, at the same time, either casually or for a predetermined reason, responding to a common stimulus. Crowds may be expressive or acting. An acting crowd may develop into a panic, mob, or riot.

文化变迁 科学发现、技术发明、艺术上的新成就或宗教教义的转变可能带来价值观、信仰和规范的改变。

cultural change Change in values, beliefs, and norms that may be brought about by scientific discoveries, technological inventions, new achievements in the arts, or shifts in religious doctrine.

传播文化变迁的过程，其中文化特征从一个社会传播到另一个社会（或从一个群体传播到另一个群体）。

diffusion A process of cultural change in which cultural traits are spread from one society to another (or from one group to another).

发现一种文化变革的过程，在这个过程中，已经存在的事实或关系被重新认识。

discovery A process of cultural change in which an already existing fact or relationship is newly perceived.

出现社会运动的第一个阶段。

emergence The first stage in a social movement.

表达运动 与救赎运动相关的运动，针对的是那些有望改变社会的个人——通常具有宗教性质。

expressive movement A movement related to the redemptive movement, directed at individuals who are expected to change society—often religious in nature.

时尚和狂热 小众时尚，短暂且常常不合理。

fads and crazes Minor fashions, short-lived and often irrational.

时尚： 一种集体行为，代表着一大群人在一段时间内遵循的一种短暂的社会模式。时尚影响着社会生活的方方面面。

fashions A kind of collective behavior that represents a transient social pattern followed for a time by a large segment of people. Fashions affect the entire spectrum of social life.

发明一种文化变革的过程，其中旧的文化观念或现有物体以新的方式组合，以产生比以前单独更重要的观念或物体。

invention A process of cultural change in which old cultural ideas or existing objects are combined in new ways to produce ideas or objects more important than the previous ones had been separately.

大众传播 向大量不同种类的受众相对同时地展示通过非个人方式从有组织的来源（对于这些受众而言，他们是匿名的）传播的符号。

mass communication The relatively simultaneous exposure of large heterogeneous audiences to symbols transmitted by impersonal means from organized sources to whom audience members are anonymous.

现代化 一种社会文化变革的模型，描述了小型前工业社会向大型工业和后工业社会的转变。

modernization A model of sociocultural change that describes the transformation of small preindustrial societies into large industrial and postindustrial ones.

民族革命运动 一场革命性的社会运动，推翻一个以外国为主的政府，代之以本国政府。

nationalistic revolutionary movement A revolutionary social movement in which a predominantly foreign government is overthrown and replaced with a native one.

宣传故意试图说服人们不加批判地接受某种信仰或做出某种选择。

propaganda A deliberate attempt to persuade people to uncritically accept a particular belief or to make a certain choice.

公众社会中地理分布分散但具有共同利益、表达该利益并且知道其他人也了解其利益的人士。

public Persons in society who are geographically dispersed but who share a common interest, who express that interest, and who know that others are aware of their interest.

舆论公众所表达的意见、态度和判断的总和。

public opinion The totality of opinions, attitudes, and judgments expressed by publics.

救赎运动 影响社会特定部分但试图对其进行彻底变革的运动。

redemptive movement A movement that affects selected portions of a society but attempts a radical transformation of it.

改革运动 试图改变社会秩序某些特征但不是整个社会的运动。

reformist movement Movements that attempt to change some feature of a social order, but not the entire society.

革命运动 试图改变整个社会秩序的运动。

revolutionary movement Movements that attempt to change the entire social order.

谣言： 对某事件或事件预测的、未经证实的报道。对于引发更积极的集体行为至关重要。

rumor An unsupported report of an event or a projected event. Important in bringing about manifestations of more active types of collective behavior.

社会变革 社会互动模式的变化，其中相当一部分社会成员获得新的地位并扮演新的角色。通过规划、改革或革命实现。

social change Change in the patterns of social interaction in which a substantial number of society’s members assume new statuses and play new roles. Takes place through planning, reform, or revolution.

社会运动 建立新生活秩序的集体事业；改变社会文化秩序或抵制这种改变的集体努力。

social movements Collective enterprises to establish a new order of life; collective efforts either to change the sociocultural order or to resist such change.

技术所有帮助人类管理和控制其环境的方法和设备。

technology All the methods and devices that help humans manage and control their environment.

恐怖主义 一种针对非战斗目标采取有预谋的、出于政治动机的暴力行为的跨国社会运动。

terrorism A kind of transnational social movement that uses premeditated, politically motivated violence against noncombatant targets.

Blumer, Herbert。1946/1969。“集体行为”。载于Alfred McClung Lee主编的《社会学原理》。纽约：Harper & Row出版社。

Blumer, Herbert. 1946/1969. “Collective Behavior.” In Alfred McClung Lee, ed., Principles of Sociology. New York: Harper & Row.

布卢默，赫伯特。1951。“社会运动”。载于阿尔弗雷德·麦克朗·李主编的《社会学原理》。纽约：巴诺书店。

Blumer, Herbert. 1951. “Social Movements.” In Alfred McClung Lee, ed., Principles of Sociology. New York: Barnes & Noble.

Killian, Lewis M. 1964. “社会运动”。载于Robert E. Faris主编的《现代社会学手册》。芝加哥：兰德麦克纳利出版社。

Killian, Lewis M. 1964. “Social Movements.” In Robert E. Faris, ed., Handbook of Modern Sociology. Chicago: Rand McNally.

Lofland, John. 1981. “集体行为：基本形式。”载于N. Rosenberg RH Turner编，《社会心理学：社会学视角》。纽约：Basic出版社。

Lofland, John. 1981. “Collective Behavior: The Elementary Forms.” In N. Rosenberg R. H. Turner, eds., Social Psychology: Sociological Perspectives. New York: Basic.

Mauss, Armand L. 1975.社会运动的社会问题.费城: Lippincott 出版社。

Mauss, Armand L. 1975. Social Problems of Social Movements. Philadelphia: Lippincott.

Piven, Frances Fox 和 Richard A. Cloward。1995 年。“集体抗议：对资源动员理论的批判”。载于 Stanford M. Lyman 主编的《社会运动》。纽约：纽约大学出版社。

Piven, Frances Fox, and Richard A. Cloward. 1995. “Collective Protest: A Critique of Resource-Mobilization Theory.” In Stanford M. Lyman, ed., Social Movements. New York: New York University Press.

Surowiecki，James。2004。《群体的智慧》。纽约：Doubleday。

Surowiecki, James. 2004. The Wisdom of Crowds. New York, NY: Doubleday.

泰勒·布兰奇。1988年。《分水岭：马丁·路德·金时代的美国，1954-1963》。纽约：西蒙与舒斯特出版社。本书对民权运动进行了深入探讨，并重点关注了其富有魅力的领袖马丁·路德·金。

Branch, Taylor. 1988. Parting the Waters: America in the King Years, 1954–1963. New York: Simon & Schuster. A detailed examination of the civil rights movement with an emphasis on its charismatic leader, Martin Luther King.

盖茨，比尔。1995。《未来之路》。纽约：维京出版社。微软董事长对信息高速公路的看法。

Gates, Bill. 1995. The Road Ahead. New York: Viking. What the chairman of Microsoft sees down the Information Highway.

Meyer, David S. 2006.抗议政治：美国社会运动。牛津：牛津大学出版社。本书对美国社会运动进行了历史回顾，并对其进行了分析，以加深对此类运动的理解。

Meyer, David S. 2006. The Politics of Protest: Social Movements in America. Oxford: Oxford University Press. An historical overview of social movements in America, as well as an analysis leading to a better understanding of such movements.

史密斯，杰基。2007。《全球民主社会运动》。巴尔的摩：约翰·霍普金斯大学出版社。阐述了社会活动家如何促进人权并致力于生态可持续发展。

Smith, Jackie. 2007. Social Movements for Global Democracy. Baltimore: Johns Hopkins University Press. Describes how social activists can promote human rights and work toward ecological sustainability.

一篇关于美国女性状况的有趣文章：凯蒂·凯利和克莱尔·希普曼合著的《信心差距》。《大西洋月刊》，2014年5月，第56-66页。

An interesting article about the condition of women in the United States: Kay, Katty and Claire Shipman, “The Confidence Gap.” The Atlantic, May 2014, pp. 56–66.

Population, Urbanization, and Environment

人口、城市化和环境

在本章中，你将学习

IN THIS CHAPTER, YOU WILL LEARN

• 关于人口统计学学科及其各种概念的重要性；

• about the importance of the discipline of demography and its various concepts;

• 关于人口内部发生的变化类型及其对社会的影响；

• about the types of changes that occur within populations and their effects on societies;

• 人口过剩的危险；

• of the dangers of overpopulation;

• 城市化的含义和影响；

• the meaning and effects of urbanization;

• 关于美国城市的特点；

• about the characteristics of American cities;

• 城市化进程与全球主流的城市化态度之间的差异；

• the difference between the process called urbanization and the attitude of urbanism, which has become predominant globally;

• 关于郊区化和大都市化的出现；

• about the emergence of suburbanization and metropolitanization;

城市危机的性质；

• the nature of the urban crisis;

• 关于生态学学科；以及

• about the discipline of ecology; and

• 人类对各种生态系统，包括全球生态系统产生了破坏性影响。

• that humans have damaging effects on the various ecosystems, including on the global ecosystem.

一个正如我们在上一章所见，早期技术革命之后的主要社会文化变革是人口的急剧增长。此外，工业革命之后，人口增长伴随着城市数量的增加，并最终形成了如今遍布所有工业社会的城市生活方式。反过来，庞大的人口、工业体系和城市化的生活方式对地球环境造成了巨大的破坏。如今，人类的行为方式正在破坏环境，这与过去少数人类群体漫游在广阔的地球上的时代截然不同。

As we saw in the previous chapter, the principal sociocultural change following early technological revolutions was a dramatic increase in population. After the Industrial Revolution, in addition, population growth was accompanied by a rise in the number of cities and ultimately an urban way of life that now pervades all industrial societies. In turn, large populations, the industrial system, and an urbanized lifestyle have wreaked havoc on the planet’s environment. The human species now acts in ways that are damaging to the environment, unlike in the past when small groups of humans roamed the vastness of the earth.

所有生物都遵循着繁衍的本能。在西方社会，这种本能被赋予了如同神圣诫命般的力量，圣经中教导人们要生养众多。从人口严重过剩、前景黯淡来看，非西方社会也同样受到生育需求的影响。定期会有预言。事实上，如果人口均匀分布在地球表面，每平方英里大约只有55人。真正的问题是人口密度，从南极洲一些无人居住地区的零密度到曼哈顿岛每平方英里约7万人不等。在美国，大平原地区有些县每平方英里的人口不到6人。

All living things follow an instinctive urge to reproduce themselves. This urge is given the weight of a divine commandment in Western societies by the Biblical injunction to be fruitful and multiply. Non-1Western societies are similarly affected by the need to procreate, judging from the seriously overpopulated world for which gloom and doom are periodically prophesied. In reality, if people were distributed evenly over the surface of the earth, there would only be about 55 people per square mile. The real problem, then, is population density, which varies from zero in some uninhabited regions of Antarctica to approximately 70,000 people per square mile on the island of Manhattan. In the United States, there are counties in the Great Plains region with fewer than six persons per square mile.

人口分布是一个至关重要的问题，因为一个社会的福祉往往取决于其人口特征，例如出生率、死亡率、性别比例、年龄组、结婚率、离婚率和流动性。这些领域的统计数据的收集和解读由人口统计学学科负责，人口统计学是一门研究出生、死亡和迁移如何影响人口构成、规模和分布的科学。

The distribution of people is a very vital issue because the welfare of a society often depends on such characteristics of its people as birthrates, death rates, sex ratios, age groups, marriage incidence, divorce frequency, and mobility. The gathering and interpretation of statistics in these areas are done by the discipline of demography, which is the scientific study of how births, deaths, and migration affect the composition, size, and distribution of populations.

人口密度可以用多种方式衡量。从大洲来看，76% 的人口居住在欧亚大陆，9% 居住在北美洲，10% 居住在非洲，5% 居住在南美洲和太平洋岛屿。从政治单元来看，22% 的人口居住在中华人民共和国，15% 居住在印度，6.5% 居住在前苏联，5.5% 居住在世界其他国家。您可以在网上找到显示美国人口密度以及人口分布和集中度的地图：例如，www.english-online/at/geography/world-population/world-population-density.htm。

Population density can be measured in a variety of ways. Looking at continents, 76 percent of the human population lives in Eurasia, 9 percent in North America, 10 percent in Africa, and 5 percent in South America and the Pacific islands. Looking at political units, 22 percent of all humans reside in the People’s Republic of China, 15 percent live in India, 6.5 percent in the former Soviet Union, and 5.5 percent in remaining countries of the world. Maps showing the population density and the distribution and concentration of population throughout the United States may be found on the Internet: for instance, www.english-online/at/geography/world-population/world-population-density.htm.

人口过程：人口变化的动态

Demographic Processes: Dynamics of Population Change

人口统计学家的主要信息来源是人口普查，这是一种人口普查，它根据人口的出身、技能、活动以及居住地来描述人口的构成和分布。在美国，每十年进行一次详细的人口普查（根据宪法第一条的规定）。人口普查的准确性至关重要，因为不仅众议院的席位是根据各州的人口分配的，而且许多联邦福利项目也同样根据人口普查结果进行分配。快速浏览一下人口普查局的《美国统计简报》，就能了解其收集的数据类型。这些数据每年都会发生变化，原因有三个：出生人数、死亡人数以及迁入或迁出该地的人数。人口统计学家将这些因素称为出生率、死亡率和迁移率。

The chief source of information for demographers is the census, a sort of head count describing the composition and distribution of people according to their origins, skills, and activities, in addition to their location. In the United States, an elaborate census is conducted every ten years (as prescribed by Article I of the Constitution). The accuracy of the census is important because not only are the seats in the House of Representatives apportioned according to the population of each state but also a number of federal entitlement programs are similarly allocated on the basis of census results. An example of the kinds of data the Bureau of the Census collects is provided by a rapid perusal of its “USA Statistics in Brief.” These figures change every year as a result of three factors: the number of births, the number of deaths, and the number of people who move into a location or move out of it. Demographers refer to these factors as the birthrate, the death rate, and migration.

出生率

Birthrates

粗出生率的定义是一年中每千人活产婴儿的数量。（人口统计学家计算粗出生率的实际公式是将某一年的活产婴儿数量除以该国总人口数，再乘以 1000。）更准确的概念是生育率，即“如果每千名女性在每一岁时都经历特定年份的出生率，她们一生中可以生育的婴儿数量”。生育率代表了生物的生殖潜力（即每千名该年龄段的女性可以生育多少婴儿）。在婴儿潮高峰期的1947年，美国的粗出生率约为每千人27个婴儿。 2013年，粗出生率为13.66，显著低于二战后的最高纪录，与阿富汗（每千人出生率为38.84）或乌干达（每千人出生率为44.17）等国家相比更是低得可怜，但高于日本（每千人出生率为8.07）、希腊（每千人出生率为8.08）或意大利（每千人出生率为8.84）。参见：www.cia.gov/library/publications/the-world-factbook/rankorder/2054rank.html。

The crude birthrate is defined as the number of live births per 1,000 people during one year. (The actual formula that demographers use to obtain the crude birthrate is the number of live births in a given year, divided by the total population of a country and multiplied by 1,000.) A more accurate concept is fertility rate, which is “the number of births that 1,000 women would have in their lifetime if, at each year of age, they experienced the birthrates occurring in the specified year.” Fecundity rates represent the biological potential for reproduction (how many births per 1,000 women of that age group could occur). At the height of the baby boom years, 1947, the crude birthrate in the United States was about 27 per 1,000. In 2013, the crude birthrate was 13.66, conspicuously lower than the post-World War II high and very low compared to a nation such as Afghanistan, with a birthrate of 38.84 per 1,000, or Uganda, with a rate of 44.17, but higher than the rate of Japan (8.07), Greece (8.08), or Italy (8.84). See: www.cia.gov/library/publications/the-world-factbook/rankorder/2054rank.html.

表 11.1 美国人口和变化成分预测：2015 年至 2020 年^*

TABLE 11.1 Projections of the Population and Components of Change for the United States: 2015 to 2020^*

^*截至 7 月 1 日的常住人口。单位为千。

^* Resident population as of July 1. Numbers in thousands.

¹净国际移民包括本土出生人口和外国出生人口的国际移民。具体而言，它包括：(a) 外国出生人口的净国际移民；(b) 本土出生人口的净国际移民；以及 (c) 美国与波多黎各之间的净移民。

¹ Net international migration includes the international migration of both native and foreign-born populations. Specifically, it includes: (a) the net international migration of the foreign born, (b) the net international migration of the native born, and (c) the net migration between the United States and Puerto Rico.

注：人口变化及变化成分数据是指上一年7月1日至当年6月30日期间发生的事件。

Note: Data on population change and components of change refer to events occurring between July 1 of the preceding year and June 30 of the indicated year.

来源：表 1. 美国人口及变化成分预测：2015 年至 2060 年（NP2014-T1）；美国人口普查局人口司，发布日期：2014 年 12 月。

Source: Table 1. Projections of the Population and Components of Change for the United States: 2015 to 2060 (NP2014-T1); U.S. Census Bureau, Population Division, Release Date: December 2014.

表 11.2 人口概况：阿富汗

TABLE 11.2 Demographic Overview: Afghanistan

资料来源：美国人口普查局www.census.gov/population/international/data/idb/region.php?N=US

Source: US Census Bureau www.census.gov/population/international/data/idb/region.php?N=US

出生率通常与人口密度并不对应。事实上，正如我们之前所见，人口稠密的地区（例如西欧和日本）的出生率较低，而人烟稀少的地区（例如阿拉伯和非洲内陆）的出生率却非常高。从经济学角度来看，高出生率出现在工业化程度较低和城市化程度较低的国家，即所谓的欠发达国家。相反，高度工业化和城市化的国家往往出生率最低。因此，出生率被认为是区分发达国家和欠发达国家的最佳社会经济变量。这种出生率分布相对较新：1840 年至 1930 年间，欧洲人口从 1.94 亿增长到 4.63 亿，大约是世界人口增长率的两倍。

Birthrates do not generally correspond to population density. In fact, densely populated areas such as Western Europe and Japan have low birthrates, as we saw earlier, whereas sparsely settled regions such as Arabia and interior Africa have very high birthrates. From the perspective of economics, high birthrates occur in the less industrialized and less urbanized countries of the world, the so-called underdeveloped nations. Conversely, highly industrialized and urbanized nations tend to have the lowest birthrates. Therefore, birthrates are recognized as the best single socioeconomic variable differentiating developed from underdeveloped nations. This distribution of birthrates is comparatively new: between 1840 and 1930, the population of Europe grew from 194 million to 463 million, approximately double the rate for the world as a whole.

死亡率

Death Rates

粗死亡率，也称为死亡率，是指某一特定人口每年每 1,000 人中的死亡人数。从世界范围来看，热带非洲的死亡率最高，而城市化工业化国家不仅出生率低，死亡率也较低。然而，一些城市化和工业化程度较低的国家，如泰国、土耳其和厄瓜多尔，即使出生率中等或较高，死亡率也很低。造成这种差异的原因是发展中国家年轻人口比例高于发达国家。尽管如此，2013 年美国的死亡率为每 1,000 人 8.15 人，而南非的死亡率为每 1,000 人 17.49 人（美国中央情报局世界概况，2014 年，www.cia.gov /library/publications/the-world-factbook /geos/us.html）。

The crude death rate, also called mortality rate, is the number of deaths per 1,000 people of a given population per year. On a worldwide basis, death rates are highest in tropical Africa, whereas urban, industrial nations have low death rates in addition to low birthrates. However, some less urban and industrial nations, such as Thailand, Turkey, and Ecuador, also exhibit low death rates, even though their birthrates are moderate or high. The reason for this disparity is that the percentage of young people is higher in developing countries than it is in developed countries. Still, in 2013 the death rate in the United States was 8.15 per 1,000, whereas in South Africa it was 17.49 per 1,000 (CIA World Factbook, 2014, www.cia.gov/library/publications/the-world-factbook/geos/us.html).

死亡可能由多种原因造成：交通事故、自杀、疾病或饥饿。西方医疗技术是死亡率降低的重要因素，它在本世纪几乎覆盖了世界的每个角落。它显著降低了世界各地的死亡率，即使在死亡率一直居高不下的地方也是如此。事实上，死亡率下降是第三世界国家人口过度增长的主要原因。

Death can result from a number of causes: traffic accidents, suicide, disease, or starvation. The great leveler of death rates has been Western medical technology, which in this century has reached almost every corner of the world. It has dramatically decreased death rates everywhere, even in locations where they had remained stubbornly high. Decreasing death rates, in fact, are a major cause of excessive population growth in Third World nations.

衡量一个社会或社会某个阶层的生活质量的更真实指标是婴儿死亡率。婴儿死亡率反映的是每 1,000 名活产婴儿中一岁以下婴儿的死亡人数。在发展中国家，这一比率往往超过 30，而在发达国家，这一比率往往低于 20。2014 年，美国的婴儿死亡率为每 1,000 名婴儿中 6.17 名死亡，而 18 个国家报告的婴儿死亡率甚至更低。相比之下，2014 年塞拉利昂的婴儿死亡率为 73.29，安哥拉为 79.99，尼日尔为 86.27。在美国，这一比率因社会阶层和种族而异：过去几十年来，穷人和少数族裔的婴儿死亡率一直是富人的两倍。事实上，截至 2012 年，密西西比州的婴儿死亡率为 8.8%，创历史新低，而该州非裔美国人的婴儿死亡率为每千名新生儿 12.6 人。

A truer measure of the quality of life in a society, or in a segment of a society, is the infant mortality rate. The infant mortality rate reflects the number of deaths among infants under one year of age for every 1,000 live births. In developing countries, that rate tends to be over 30, whereas in developed nations it tends to be under 20. In 2014, the infant mortality rate in the United States was 6.17 per 1,000, and 18 nations reported even lower infant mortality rates. By contrast, the infant mortality rate in Sierra Leone in 2014 was 73.29, in Angola it was 79.99, and in Niger 86.27. In the United States, the rate varies greatly according to social class and race: infant mortality among the poor and minorities has been twice as high as that among the well-to-do in the last several decades. In fact, as of 2012 the infant mortality rate in Mississippi was 8.8, a historical low, and among African Americans in that state it was 12.6 per thousand births.

婴儿死亡率对预期寿命有一定影响，预期寿命是指特定年龄段的人可以预期平均存活的年数。发展中国家的平均预期寿命为 64.4 岁，但也可能低得多：尼日尔为 54.74 岁，安哥拉为 55.29 岁，埃塞俄比亚为 60.75 岁。在美国，预期寿命已从上个世纪之交的 40 岁上升到 2014 年的 79.56 岁。请参阅：www.infoplease.com/world/statistics/life-expectancy-country.html。目前 65 至 75 岁的美国人预期寿命可以增加约 20 年。但并非所有美国人都有这样的前景：2009 年，黑人男性和女性的平均预期寿命仅为 75 岁，这相当于 30 年前白人男性和女性的平均预期寿命。教育也会影响预期寿命：研究发现，接受过16年或以上教育的白人男性比受教育年限不足12年的黑人男性平均预期寿命长14年。请参阅：www.businessinsider.com/huge-racial-gap-in-life-expectancy-2014-1；另见：www.cdc.gov/nchs/fastats/life-expectancy.htm。差异性别之间的差异很可能是遗传性的；种族之间的差异很可能是由社会阶层导致的生活方式差异造成的。（过去150年预期寿命的增长，大部分源于婴儿死亡率和产妇死亡率的下降。）

Infant mortality has some impact on life expectancy, which is the average number of years a person of a certain age can expect to live. In developing nations the average life expectancy is 64.4 years, but it may be much lower: it is 54.74 in Niger, 55.29 in Angola, and 60.75 in Ethiopia. In the United States, life expectancy has gone from 40 years at the turn of the preceding century to 79.56 as of 2014. See: www.infoplease.com/world/statistics/life-expectancy-country.html. Americans currently 65 to 75 years old can expect to live about 20 years longer. But again, not all categories of Americans have such prospects: in 2009, the average life expectancy of black men and women was just 75 years, which was the average life expectancy of white men and women 30 years earlier. Education also makes a difference in life expectancy: research found that white men with 16 or more years of school can expect to live an average of 14 years longer than black men with fewer than 12 years of education. See: www.businessinsider.com/huge-racial-gap-in-life-expectancy-2014-1; also, www.cdc.gov/nchs/fastats/life-expectancy.htm. The differences between genders are most likely genetic in nature; the differences between races are probably caused by variations in lifestyles resulting from social class. (Most of the gains in the last 150 years in life expectancy have come from reductions in the deaths of infants and women in childbirth.)

迁移

Migration

1880年至1910年间，超过2800万欧洲人从欧洲大陆移居美国。他们的迁移被定义为国际移民——人口从一个国家迁移到另一个国家。在移民过程中，推动因素促使人们离开一个地理区域前往另一个地理区域，而拉动因素则吸引人们前往新的地区。例如，1840年的马铃薯饥荒是促使人们离开爱尔兰的推动力，而美国的就业机会则是吸引爱尔兰人移民到美国的拉力。如今，类似的推拉因素也作用于墨西哥人和东南亚人，促使他们努力移民美国。

Between 1880 and 1910, more than 28 million Europeans moved from that continent to the United States. Their movement is defined as international migration—movement of people from one country to another. In migration, push factors encourage people to leave one geographic area for another and pull factors attract people to a new area. For instance, in 1840 the potato famine was the push that made people leave Ireland, and the employment opportunities in the United States were the pull that attracted the Irish to come here. Today, similar push-and-pull factors are acting on Mexicans and Southeast Asians in their efforts to immigrate into the United States.

移民

Immigration

我们是一个移民国家。移民数量在20世纪头20年达到顶峰，直到1965年才开始回升，当时立法消除了种族歧视并放宽了配额。自1980年以来，平均每年有57万人来到美国。根据皮尤研究中心的数据，截至2013年3月，美国境内非法移民人数估计为1130万（www.pewhispanic.org/2014/09/03/as-growth-stalls-unauthorized-immigrant-population-becomes-more-settled/）。

We are a nation of immigrants. Immigration peaked in the first two decades of the twentieth century and did not begin to climb again until 1965, with legislation that eliminated ethnic bias and loosened quotas. Since 1980, an average of 570,000 people a year have come to these shores. According to the Pew Research Center, an estimated 11.3 million illegal aliens were in the country as of March, 2013 (www.pewhispanic.org/2014/09/03/as-growth-stalls-unauthorized-immigrant-population-becomes-more-settled/).

1986年的《移民改革与控制法案》旨在减少非法移民跨越美国边境的数量，因为它规定对雇佣他们的雇主处以高额罚款。然而，事实上，非法越境的人数却有所增加（Parrillo，1990，536）。美国人口普查局估计，合法和非法移民占20世纪80年代美国人口增长的四分之一到三分之一。此外，这些移民的来源地与前几波移民的来源地有所不同（参见第八章）。如何处理移民问题以及非法移民的命运一直是美国备受争议的问题，而现任政府和国会却一再拖延。

The Immigration Reform and Control Act of 1986 was supposed to lessen the flood of undocumented aliens across U.S. borders because it prescribed high fines for employers who hired them. In reality, the illegal border crossings increased (Parrillo, 1990, 536). The Census Bureau calculates that legal and illegal aliens accounted for one-fourth to one-third of the country’s population growth in the 1980s. In addition, the places of origin of the immigrants differ from those of previous waves (see Chapter 8). How to deal with immigration and the fate of illegal aliens have been controversial issues in the United States, ones the current administration and Congress are constantly postponing.

国内移民

Internal Migration

1910 年至 1955 年间，数百万贫穷的白人和黑人离开经济不景气的美国南部，前往北部寻找工业岗位。他们正在进行国内移民。如今，南部和西部的人口在增长，而中西部和东北部的人口则在减少。国内移民并不影响一个国家的人口规模，它影响的是地区和地方社区的人口。国内移民在美国历史上非常重要。我们是一个流动的国家，无论向西、向北、向南还是向东，公民都心甘情愿地追随更好机会的诱惑。因此，逆转很常见。自 1980 年以来，迁入南部的非裔美国人比迁出南部的多出近 10 万，扭转了 80 年来的移民潮流。他们中的大多数人移居南方是为了寻找新的工作、更好的生活质量或重建家庭关系。尽管大多数移民是为了经济机会，但南方对非裔美国人的态度也更加友好，民权法、学校种族隔离法以及反对职场歧视的法律为黑人家庭创造了更加宽容的氛围。然而，一些南方州却试图通过歧视少数族裔的选民登记法。

Between 1910 and 1955, millions of poor whites and blacks left the economically ailing South of the United States for the industrial jobs in the North. They were engaging in internal migration. Today, it is the South and the West that are growing in population, whereas the Midwest and Northeast are losing population. Internal migration does not affect the size of a nation’s population; it affects the populations of regions and local communities. Internal migration has been very important in the history of the United States. We are a mobile country whose citizens willingly follow the siren song of better opportunity, whether it leads west, north, south, or east. Reversals, then, are common. Since 1980, nearly 100,000 more African Americans have moved into the South than have moved out, reversing an 80-year tide of migration. Most of them are moving to the South for new jobs, for a better quality of life, or to renew family ties. Although most migration is driven by economic opportunity, the South has become more hospitable to African Americans in the sense that laws on civil rights, school desegregation, and laws against discrimination on the job have created a much more tolerable atmosphere for black families. However, some southern states have attempted to pass voter registration laws that are discriminatory to minorities.

中西部地区也正在经历某种程度的反弹，尽管美国人仍然青睐西部和南部作为居住地：截至 2012 年，50 个增长最快的大都市区分布在两个区域——西部 23 个，南部 25 个（美国人口普查局，2012 年）。美国人口集中如下：113,317,879 人居住在南部，71,568,081 人居住在西部，66,836,911 人居住在中西部，55,283,679 人居住在东北部。美国人口最多的州是加利福尼亚州（3800 多万人）、德克萨斯州（2600 多万人）和纽约州（1900 多万人）。社会学家和人口统计学家曾预测，沿海各州将占美国人口的更大比例。造成这种情况的原因是经济原因：沿海各州对工资和合伙收入的实际增长贡献最大。美国工业中心传统上位于五大湖周边地区，因为工业发展需要水路运输，而且该地区煤炭和铁矿石资源丰富。重工业的衰落和信息经济的兴起，导致人口为了追逐就业岗位而迁移到东部的马萨诸塞州和新泽西州等边缘地区，以及西部的硅谷（从旧金山到圣何塞）。

The Midwest, too, is experiencing something of a rebound, although Americans continue to favor the West and the South as places to live: as of 2012, the 50 fastest-growing metropolitan areas were distributed between two regions—23 in the West and 25 in the South (U.S. Census Bureau, 2012). The population of the United States is concentrated as follows: 113,317,879 live in the South, 71,568,081 live in the West, 66,836,911 live in the Midwest, and 55,283,679 live in the Northeast. The most populous states in the nation are California (38-plus million people), Texas (26-plus million), and New York (19-plus million). Sociologists and demographers had predicted that the coastal states would come to hold a greater proportion of the nation’s population. The reason for this situation is economic: the coastal states account for the largest percentage of the real growth in wages and partnership income. The industrial heartland of the United States traditionally had been in the region around the Great Lakes because industry needed the transportation provided by the waterways, and the region was also rich in coal and iron ore. The decline of heavy industry and the rise of the information economy has moved population following jobs to the rim states of Massachusetts and New Jersey in the East and the Silicon Valley (from San Francisco to San Jose) in the West.

人口特征和构成

Characteristics and Composition of a Population

人口统计学家不仅计算人口规模（受出生率、死亡率和迁移率的影响），还计算其他一些特征，其中最重要的是性别比例、结婚率和年龄结构。

Demographers calculate not only a population’s size—which is affected by birthrates, death rates, and migration rates—but also a number of other characteristics, the most important of which are the sex ratio, the marriage rate, and the age structure.

性别比例

Sex Ratio

性别比指的是某一年中，每100名女性对应多少名男性。怀孕和出生的男孩数量多于女孩（怀孕124名，出生105名），但美国的男女性别比为100名女性对应97名男性。女性数量较多的原因在于男性胎儿流产率较高，以及男性更容易患病、遭遇事故和遭受暴力。这种情况在战争时期尤为明显，但即使在正常时期，女性数量也从55岁左右开始一直到老年都超过男性。在相对发达的国家，每100名男性对应大约105名女性。然而，在第三世界国家，情况却截然相反：尽管出生的男孩比女孩多5%或6%，但在印度，每1000名男性对应943名女性；在中国，2015年每100名女孩对应115.9名男孩，因此该国男性比女性多3300万人；在阿富汗，每100名男性对应94.5名女性。这些情况是由于女婴溺杀率高以及对女童的普遍忽视——甚至直接谋杀——造成的，在这些国家的文化中，女童的价值不如男童。据报道，亚洲至少有1.6亿女性失踪或恐已死亡，全球有超过9600万女性失踪，她们只是性别的受害者。在美国，性别比例均衡，每个人都有找到伴侣的可能性。因此，结婚率与出生率呈正相关。

The sex ratio indicates how many males there are in a population in any single year per 100 females. More boys than girls are conceived and born (124 are conceived, 105 are born), but the ratio of males to females in the United States is 97 males for 100 females. The reasons for the greater number of females are to be found in the higher rates of miscarriage of male fetuses and males’ susceptibility to disease, accidents, and violence. This is particularly true in wartime, but even in normal times women outnumber men beginning at about age 55 through old age. In relatively advanced countries, there are about 105 females for every 100 males. In Third World countries, however, the opposite is true: although 5 or 6 percent more boys than girls are born, in India there are only 943 females for every 1,000 males, in China, in 2015, 115.9 boys were born for every 100 girls, so that there are 33 million more men than women in that country, and in Afghanistan there are 94.5 females for every 100 males. These conditions are due to high rates of female infanticide and the general negligence—if not outright murder—of female children, whom the cultures of these nations do not value to the same extent as males. It is reported that at least 160 million females in Asia are missing and feared dead, and around the world more than 96 million females are missing, victims only of their gender. In the United States, the sex ratio is fairly distributed so that each individual has the possibility of obtaining a mate. Thus, the marriage rate is positively related to the birthrate.

年龄结构

Age Structure

社会的年龄结构会以多种方式影响其发展（见图11.1、11.2和11.3 ）。如果一个社会的成员集中在 20 至65岁之间，那么它就拥有大量的劳动力，并且很少有非生产性受抚养人。另一方面，如果社会成员集中在 20 岁以下或 65 岁以上的年龄段，那么这个社会就会有大量非生产性个体，政府必须为他们提供扶持。年轻人占比较大的人口往往也更容易出现高生育率，这种情况目前发展中国家也存在类似的情况。老龄人口多的地区死亡率自然就高。

The age structure of a society influences it in a variety of ways (see Figures 11.1, 11.2, and 11.3). A society whose members are concentrated in the age group 20–65 has a large labor force and few nonproductive dependents. On the other hand, if members are concentrated in the under-20, or the over-65 age group, the society has a large number of nonproductive individuals, which the government has to help support. A population with a large number of young people will also tend to have high birthrates, a situation occurring at present in developing countries. Naturally, a population with a high number of elderly people has a high death rate.

美国——2015年

United States—2015

图 11.1

FIGURE 11.1

美国人口普查局，国际数据库

US Census Bureau, International Data Base

人口的年龄和性别构成可以用人口金字塔来表示。人口金字塔的每一条柱状图代表一个出生队列，即在特定时间段内出生的所有人。在发展中国家，金字塔的形状是真正的金字塔，因为其底部是最大的出生队列，即 20 岁以下的人口。顶部是一小部分 65 岁以上的人口。在发达国家，出生率和死亡率的下降导致了人口结构中间宽、底部和顶部较窄。如图11.1、11.2和11.3所示，美国、中国和印度未来老龄人口数量将逐渐增加，但中国和印度仍将拥有大量年轻人口。

The age and sex composition of a population can be shown graphically by what is called a population pyramid. Each bar in such a graph represents a birth cohort, or all the people born in a specific time period. In a developing country, the pyramid has a truly pyramidal shape because its bottom is constituted by the largest birth cohort—the population consisting of those under 20. The top consists of a small proportion of those over 65. In a developed country, the declines in both the birthrate and the death rate make for a structure with a wide middle and a rather narrow base and top. As Figures 11.1, 11.2, and 11.3 indicate, the United States, China, and India will experience a progressively higher number of elderly in the future, but China and India will continue to have a large contingent of young people.

人口金字塔是社会规划的有力工具。显然，在一个人口大多数在20岁以下的社会中，医院、学校和儿童保育服务机构都需要设立产房。在一个人口以老年人为主的社会中，需要增设养老院、面向老年人的医疗保健、养老金和社会保障等。

The population pyramid is a useful tool for social planning. Obviously, in a society in which the majority of the population is under 20, there will be a need for maternity wards in hospitals, schools, and child care services. One whose members are predominantly old will need additional nursing homes, health care geared to the aged, provisions for pensions and Social Security, and so on.

一些人口统计学家认为，世界各地不同年龄段人口之间日益扩大的差距是一颗定时炸弹。在整个非洲，15岁以下的年轻人占总人口的40%至50%；在几乎所有拉丁美洲，这一比例约为40%；在亚洲大部分地区，这一比例在30%至45%之间。40%；而美国和加拿大约为22%。这意味着，在未来20年内，年轻人口占比较大的国家的劳动力进入率将增加一倍以上。这将造成失业和就业不足的状况，从而加剧这些国家的政治不稳定。此外，由于未来几十年育龄妇女数量的大幅增加（而这又是由于全球人口结构的年轻化），人口增长势头将导致世界人口到2050年将增长至约92亿，比1999年增长50%以上。

Some demographers maintain that the widening gap between the age cohorts in different parts of the world is a time bomb. The proportion of young people under 15 years in all of Africa is between 40 and 50 percent of the population; in almost all of Latin America it is about 40 percent of the population; in most of Asia, it is between 30 and 40 percent; whereas in the United States and Canada it is about 22 percent. What this means is that in the next 20 years there will be more than a doubling of the rates of entry into the labor forces of the nations with large percentages of young people. This will create conditions of unemployment and underemployment, which will add to the political instability of those nations. In addition, because of the huge increases in the number of women of child-bearing age in the next several decades—caused, in turn, by the young age structure of the population at the world level—a population momentum will result in increasing world population by 2050 to about 9.2 billion people, an increase of better than 50 percent over 1999.

中国——2015年

China—2015

图 11.2

FIGURE 11.2

美国人口普查局，国际数据库

US Census Bureau, International Data Base

人口统计学作为一门科学学科的价值之一在于其预测功能，因为它有利于社会了解未来趋势并做好准备。在美国，人口普查局不仅收集反映当前的数据，还试图对未来进行预测。人口普查局预测，到2050年，美国人口将达到约4.2亿的高位。联合国也预测，在21世纪上半叶，美国人口将继续增长。原因有两个：一是持续涌入的大量移民；二是我们的生育率较高，这在发达国家中是独一无二的。由于人口众多且消费习惯高，美国将对世界产生巨大影响。美国人消耗了全球超过三分之一的能源。尽管中国人口占世界总人口的比重不到6%，但其拥有丰富的自然资源和物质资源。然而，中国的发展和消费水平正在快速接近其高水平，因此有可能取代美国的主导地位。

One of the values of demography as a scientific discipline is its predictive function, for it is to the advantage of society to be aware of future trends and prepare for them. In the United States, the Census Bureau not only collects data reflecting the present but also attempts to make projections about the future. The Census Bureau has been projecting that the population of the United States by 2050 would stand at a high of approximately 420 million. The United Nations has also predicted that the United States will continue to increase in population during the first half of the twenty-first century. The reasons are twofold: one, the large number of immigrants who continue to arrive; and two, the higher fertility rate we display, which is unique among the developed nations. Because of the large number of people and their habits of high consumption, the United States will strongly impact the world. Americans use up more than one-third of the world’s energy and material resources, even though they are less than 6 percent of the world’s population. However, China is fast approaching a high level of development and consumption, and so it may usurp U.S. dominance.

印度——2015年

India—2015

图 11.3

FIGURE 11.3

美国人口普查局，国际数据库

US Census Bureau, International Data Base

全球人口

Population Around the World

媒体经常提到人口“危机”，指的是世界人口数量呈几何级数增长（即翻一番：2、4、8、16、32等等），而且时间间隔越来越短。目前，世界人口每35年翻一番，因此每年出生人口比死亡人口多出约7400万。相比之下，从公元1年到18世纪中叶，出生率每500年才翻一番。

The media often refer to a “crisis” of population, by which they mean that the number of people in the world has been increasing geometrically (that is, it has been doubling: 2, 4, 8, 16, 32, etc.) at ever shorter intervals of time. At present, world population is doubling every 35 years, so that every year there are about 74 million more births than deaths. In contrast, from 1 AD to the middle of the eighteenth century, the birthrate doubled only every 500 years.

马尔萨斯和马克思

Malthus and Marx

人口翻倍的间隔越来越短，导致了人口过剩的问题。两个世纪前，一些思想家已经开始意识到，除非控制生育率，否则地球将面临人口过剩和资源匮乏的局面。其中最著名的思想家是托马斯·马尔萨斯，他发表了1798 年，马尔萨斯发表了他的论文《人口原理》。在文中断言，在有利的环境下，人口以几何级数增长，而食物供应则以算术级数增长 — — 1、2、3、4、5，等等。因此，食物供应最终会耗尽，导致饥饿导致死亡率上升。尽管马尔萨斯对扭转这一趋势的可能性非常悲观，但他建议使用预防性检查来控制生育。晚婚和强制独身是他所推崇的检查方法，但这两种方法都不是特别现实的选择。技术、农业和节育方法的巨大进步缓和了马尔萨斯预言的悲观情绪。尽管如此，这个预言仍然具有现实意义，特别是对于发展中国家而言，主要是由于死亡率较低，人口增长确实超过了粮食生产。

The increasingly shorter intervals at which population doubles have created the problem of overpopulation. Two centuries ago, some thinkers had already begun to realize that the earth would become overpopulated and lack sufficient resources unless birthrates were curbed. The best known of these thinkers was Thomas Malthus, who published his treatise, An Essay on the Principles of Population, in 1798. In it, Malthus asserted that whereas under favorable circumstances populations grow by geometric progression, the food supply increases by arithmetic progression—1, 2, 3, 4, 5, and so on. Therefore, eventually the food supply would become exhausted, causing increases in the death rate through starvation. Although he was quite pessimistic about the possibility of reversing this trend, Malthus suggested the use of preventive checks to control fertility. Later marriage and enforced celibacy were the checks he favored, neither one a particularly realistic alternative. The gloom of the Malthusian prophecy has been tempered by great advances in technology, agriculture, and methods of birth control. Nonetheless, the prophecy still has relevance, particularly for the developing nations in which, largely as a result of lower death rates, population growth does indeed outpace food production.

卡尔·马克思不同意马尔萨斯关于人口过剩原因的观点。尽管他倾向于将所有社会弊病归咎于资源分配不均，但他认为真正的问题是生产力不足和就业机会有限，这些都是资本主义制度的弊端。如果社会秩序良好，人口增长意味着生产力增加，从而财富增加。但由于资本主义社会的财产持有方式，工人们仍然贫困，并且争夺为数不多的工作岗位。作为解决方案，马克思建议彻底重组社会，特别是更公平地分配食物、住房和其他生活必需品。许多网站都在当今背景下探讨这两位社会评论家的思想，例如：www.slideshare.net/Imani23/marxist-theory-on-population-growth； www.academia.edu/7i389030/On_the_Population_Question_Malthus_Marx_and_Beyond；www.theglobalist.com/malthus-marx-and-the-globalization-debate-；等等。

Karl Marx disagreed with Malthus about the causes of overpopulation. Inasmuch as he tended to attribute all the evils of society to the unequal distribution of resources, he maintained that the real issue was underproduction and limited employment opportunities, all failures of the capitalist system. If the society were well ordered, an increase in population would mean an increase in production and, thus, in wealth. But because of the way in which property was held in capitalist societies, workers remained poor and competed for the few jobs available. As a solution, Marx proposed a radical restructuring of society, particularly a more equitable distribution of food, housing, and the other necessities of life. The ideas of these two social commentators in today’s context are examined on a number of Web sites, such as: www.slideshare.net/Imani23/marxist-theory-on-population-growth; www.academia.edu/7i389030/On_the_Population_Question_Malthus_Marx_and_Beyond; www.theglobalist.com/malthus-marx-and-the-globalization-debate-; and others.

人口结构转变

Demographic Transition

人口统计学家计算得出，如果目前的人口增长率持续不减，几个世纪后，世界人口将达到每个人只能支配一平方英尺土地的水平。当然，没有人能够生活在如此狭小的空间里，但计算结果为这种噩梦般的可能性提供了戏剧性的证据。以下数字也是如此：世界每分钟增加 141 个新人口，每小时增加 10,000 个，每天增加 203,000 个，每年大约增加 7400 万！每三年，世界人口新增数量就相当于美国的总人口。到 2000 年中期，世界人口已达到 61 亿（1987 年突破 50 亿大关），到 2150 年，世界人口预计将超过 90 亿（图 11.4）。最后，近 50% 的世界人口是在过去 25 年内出生的。

Demographers have calculated that if the current rate of population growth continues unabated, in a few centuries the population of the world will reach such a level that each person will have only one square foot of land area at his or her disposal. Of course, no one could live in such a minuscule space, but the calculations give dramatic evidence of the nightmarish possibilities. So do the following figures: the world gains 141 new human beings each minute, 10,000 each hour, 203,000 each day, and approximately 74 million each year! Every three years, the new additions to world population equal the total population of the United States. A world population of 6.1 billion people was reached by mid-2000 (the 5 billion mark was passed in 1987), and by 2150 the world population is expected to top 9 billion (Figure 11.4). Finally, nearly 50 percent of the world’s population was born in the last 25 years.

然而，大多数人口专家预计，人口增长率将保持不变，但在80亿至150亿人口之间的某个点趋于平稳。如果全球人口增长率达到零（即人口仅自我更新），或者人口转型理论继续发挥作用，人口增长将趋于平稳。

However, most population experts expect that the growth rate will remain constant but will level out at some point between 8 billion and 15 billion people. This leveling off will take place if people attain zero population growth (a situation in which people only replace themselves) worldwide or if the demographic transition theory continues to function.

如上所述，在人类历史的大部分时间里，人口增长率几乎不足以维持人口的繁衍。高出生率是弥补极高死亡率的必要条件。此外，饥荒、疾病和战争周期性地导致世界人口大量死亡。

As noted, for most of human history the rates of population growth were barely sufficient for people to replace themselves. A high birthrate was necessary to compensate for the extremely high death rate. In addition, famine, disease, and wars periodically decimated many of the world’s populations.

工业革命及其带来的众多技术创新改变了这一切。在西方，人口在十八世纪中叶开始激增，但尽管马尔萨斯曾发出警告，这种失控的增长并没有吓倒人们，他们认为技术会持续进步，从而始终能够确保充足的粮食供应。这一次的人口增长还伴随着生活水平的提高。这种相关性被解读为经济扩张实际上需要快速增长。毕竟，人口越多，消费的产品就越多，生产更多消费品就需要更多劳动力。实际上，快速的人口增长会抵消农业和工业技术进步带来的任何收益。

The Industrial Revolution, with its many technological innovations, changed all that. In the West, populations began to explode around the middle of the eighteenth century, but despite Malthus’s warnings the uncontrolled growth failed to frighten people, who thought that technology would keep progressing and, thus, always ensure an adequate food supply. Population growth this time around was also accompanied by an increase in the standard of living. This correlation was interpreted as meaning that rapid growth was actually needed for economic expansion. After all, if there are more people, more products are consumed and more people are needed in the workforce to produce still more articles for consumption. In reality, rapid population growth erases any gains derived from improvements in agricultural and industrial technology.

世界人口：1950–2050

World Population: 1950–2050

$图像$

图 11.4

FIGURE 11.4

美国人口普查局，国际数据库，2011 年 6 月更新

US Census Bureau, International Data Base, June 2011 Update

在过去的200年里，西方世界经历了人口统计学家所说的“人口转型”。本质上，这意味着西方社会从高死亡率和高生育率转变为低死亡率和低生育率。人口一度快速增长，死亡率先于出生率下降。然而，很快出生率也开始下降，人口增长率开始稳定在一个相对较低的水平。

In the past 200 years, the Western world has undergone what demographers call a demographic transition. Essentially, this means that Western societies have gone from high mortality and fertility rates to low mortality and fertility rates. Population grew rapidly for a time, and death rates dropped before birthrates did. Soon, however, birthrates were also falling off, and the population growth rate began to stabilize at a relatively low level.

人口统计学家认为这种转变代表了一种普遍的模式，并构建了一个人口增长的概念模型。根据该模型，社会人口增长会经历三个基本阶段。在第一阶段，出生率和死亡率都很高，通过增长和下降的循环达到平衡。在第二阶段，死亡率下降，但出生率仍然很高，导致人口增长不受控制。在第三阶段，出生率下降，人口趋于稳定。该模型允许在战争和萧条等异常事件之后人口增长发生变化。

In the belief that this transition represents a general pattern, demographers have pieced together a conceptual model of population growth. According to the model, societies pass through three basic stages of population growth. In the first stage, birthrates and death rates are both high, leading to a balance achieved through cycles of growth and decline. In the second stage, death rates decline but birthrates remain high, leading to unchecked population growth. In the third stage, birthrates decline, leading to stabilization of population. The model allows for shifts in population growth following unusual events, such as wars and depressions.

运用该模型可以看出，热带非洲、热带南美洲以及亚洲东部和中部目前处于第一阶段。北非部分地区、南美洲温带地区、印度、中华人民共和国和其他几个国家处于第二阶段。美国、澳大利亚、新西兰、日本、加拿大、英国以及北欧和西欧均处于第三阶段。然而，印度和中国正在快速接近第三阶段。

In applying the model, it may be seen that tropical Africa, tropical South America, and the eastern and middle sections of Asia are currently in the first stage. Parts of North Africa, the temperate part of South America, India, the People’s Republic of China, and several other nations are in the second stage. The United States, Australia, New Zealand, Japan, Canada, the United Kingdom, and northern and Western Europe are all in the third stage. India and China, however, are fast approaching the third stage.

人口零增长

Zero Population Growth

自20世纪70年代起，工业化国家（美国、欧洲、日本、澳大利亚）的人口增长率开始极低。在美国，出生率首次降至更替水平以下，即2.08至2.04之间。2012年，美国的生育率处于历史最低水平，出生率为1.88，低于更替水平。（更替水平为2.1，其中2代表每个人仅生育自身子女的比率，0.1代表没有子女的人口。）参见：www.pewsocialtrends.org/2012/11/29/us-birth-rate-falls-to-a-record-low-decline-is-greatest-among-immigrants/。

As of the 1970s, the industrial world (the United States, Europe, Japan, Australia) began to display extremely low population growth rates. In the United States, the birthrate had declined for the first time below the replacement level or between 2.08 and 2.04. In the year 2012, the fertility rate in the United States stood at its lowest level and the birthrate was 1.88, or less than the replacement level. (The replacement level is 2.1, the 2 representing the rate if each person merely reproduced himself or herself, and the 0.1 representing the people who remain childless.) See: www.pewsocialtrends.org/2012/11/29/u-s-birth-rate-falls-to-a-record-low-decline-is-greatest-among-immigrants/.

人口下降的根源在于始于2007年左右的经济衰退。人口统计学家将这种现象称为人口零增长。回顾一下，早在1961年，美国每个家庭的生育率就远高于3.6个孩子（《世界人口数据表2014》，人口参考局，www.prb.org/ Publications/Datasheets/2014/2014-world-population-data-sheet.aspx ），就能更好地理解这一较低的生育率。更多信息也可从以下网站获取：www.prb.org/pdf14/2014-world-population-data-sheet_eng.pdf；如果你在谷歌上搜索“2014年人口零增长”，你会看到许多显示全球人口增长的数据。

The decline is attributed to the recession that began around 2007. Demographers refer to this phenomenon as zero population growth. This lower rate can be best appreciated by recalling that as recently as 1961 the American rate was well over 3.6 children per family (World Population Data Sheet 2014, Population Reference Bureau, www.prb.org/Publications/Datasheets/2014/2014-world-population-data-sheet.aspx.) Much information may also be garnered from: www.prb.org/pdf14/2014-world-population-data-sheet_eng.pdf; and if you google “Zero population growth 2014,” you will see many screens showing population growth around the world).

非裔美国女性和拉丁裔女性的发病率略高，但已接近白人女性。因此，美国是一个人口零增长（ZPG）社会。参见：www.prb.org/publications/rticles/2012/us-population-growth-declines.aspx。

The rates for African-American and Latino women are somewhat higher, but they are approaching those of white women. The United States, then, is a zero-population-growth (ZPG) society. See: www.prb.org/publications/rticles/2012/us-population-growth-declines.aspx.

在实现零增长及更低生育率方面，美国正效仿其他城市工业化国家。这些国家人口主要集中在城市，城市环境不利于大家庭的生存。住房稀缺，儿童难以获得工业岗位，而且为许多孩子提供教育和健康保障的成本高昂。因此，城市家庭，无论宗教和文化背景如何，都倾向于抑制生育。例如，爱尔兰、法国和意大利都是罗马天主教国家，其宗教禁止节育，但这些国家的生育率却位居世界最低之列，并且还在下降。西欧的平均生育率为1.6，日本和韩国为1.41。

In achieving ZPG and lower, the United States is following the lead set by other urban, industrial nations. Conditions in cities, where most people are concentrated in these nations, do not lend themselves to large families. Housing is scarce, industrial jobs are not open to children, and it is expensive to educate and provide health protection for many children. Thus, urban families, regardless of religion and culture, tend to curb their fertility. Ireland, France, and Italy, for instance, are all Roman Catholic nations whose religion forbids birth control, yet the birthrate in these nations is among the lowest in the world and is declining. The average fertility rate in Western Europe is 1.6, and in Japan and South Korea it is 1.41.

尽管人口转型模式以及一些社会已实现人口零增长的事实可能引发乐观情绪，但人口过剩的危险不容忽视。人类人口正在迅速增长，这促使联合国和人口参考局指出，人口增长最快的国家是贫穷的欠发达国家，这些国家的食物、住房、卫生设施和经济机会已经供不应求。如果目前的趋势持续下去，预计全球人口零增长最早也要到2040年才会出现（表11.3，1800-2100年世界人口增长）。

Despite the optimism that may be engendered by the demographic transition model and the fact that a number of societies have attained zero population growth, the danger of overpopulation cannot be ignored. The human race is multiplying very rapidly, which has prompted the United Nations and the Population Reference Bureau to point out that the most rapid expansion is occurring in poor, underdeveloped nations, where food, housing, sanitation, and economic opportunities are already in short supply. If present trends continue, zero growth worldwide can be expected to occur no sooner than by the year 2040 (Table 11.3, World Population Growth 1800–2100).

人口政策

Population Policies

如上所述，世界上富裕国家的人口增长率缓慢，而许多发展中国家的生活水平非常低（包括赤贫和周期性饥荒），人口增长迅速。为了应对这些因素，一些国家不得不实施政策试图控制人口增长或停滞。在西方，低出生率促使生育主义者（那些支持提高出生率的人）认为，西方价值观（主要是政治民主）可能无法生存。另一些人担心，经济繁荣可能会受到损害，从而减缓技术创新。劳动力规模小也难以支付老年人口和退休人口的社会保障和医疗福利。

As mentioned, the rich nations of the world are experiencing slow rates of population growth, whereas many of the developing nations have a very low standard of living (including abject poverty and periodic famines) and rapidly increasing population growth. To counteract these factors, a number of nations have had to implement policies to try to control either growth or lack of growth of their populations. In the West, the low birthrates have prompted pro-natalists (those in favor of an increase in birthrates) to maintain that there is a danger that Western values, chiefly political democracy, may not survive. Others fear that economic prosperity may be undermined, slowing technological innovation. A small workforce would also have difficulty paying for Social Security and health benefits for an older, retired population.

表 11.3 2015 年按人口排名的国家和地区

TABLE 11.3 Countries and Areas Ranked by Population: 2015

秩

Rank

国家或地区

Country or Area

人口

Population

中国

China

1,361,512,535

印度

India

1,251,695,584

美国

United States

321,362,789

印度尼西亚

Indonesia

255,993,674

巴西

Brazil

204,259,812

巴基斯坦

Pakistan

199,085,847

尼日利亚

Nigeria

181,562,056

孟加拉国

Bangladesh

168,957,745

俄罗斯

Russia

142,423,773

日本

Japan

126,919,65

资料来源：美国人口普查局www.census.gov/population/international/data/countryrank/rank.php

Source: US Census Bureau www.census.gov/population/international/data/countryrank/rank.php

与之相反的是中国、印度、孟加拉国和新加坡等国家，这些国家的政府对公民实施了各种人口控制措施。印度强制生育第二个孩子的男性进行绝育，并对拒绝绝育者处以罚款和监禁。该计划遭到强烈反对，并于1977年推翻了英迪拉·甘地总理领导的政府。目前，印度已恢复自愿人口控制计划。孟加拉国的强制绝育计划同样未能成功，其生育率仍然很高。新加坡在建立二孩家庭的目标上同时采用了奖励和惩罚措施。这一措施非常成功，以至于它不得不改变做法，鼓励人们在经济条件允许的情况下生育三个或更多孩子。中国也尝试过奖惩结合的政策，但最初收效甚微。中国政府发起了一项计划生育运动，为只生育一个孩子的夫妇提供大量奖励：从 1979 年到 1986 年，这项措施效果显著，中国的出生率降低了一半。但自 1986 年以来，出生率又开始上升，部分原因是一些中国人变得更加富裕，愿意支付罚款来生育更多的孩子。结果是，进入 1990 年代时中国人口已超过 10 亿，到 2025 年左右将翻一番，特别是因为中国政府在 2015 年底废除了计划生育法。然而，印度的总人口将在 2037 年超过中国。超过 20 亿的人口对任何社会的经济都会造成压力，尤其是那些最近才取得巨大进步且历经艰辛的社会。然而，令人鼓舞的消息是，许多发展中国家的生育率已经达到与发达国家相当的水平。印度的比率为 2.5；智利、巴西和泰国的比率低于法国、挪威和瑞典（www.thebreakthrough.org/index.php/programs/conservation）。

On the other side of this spectrum have been nations such as China, India, Bangladesh, and Singapore, whose governments have imposed various methods of population control on their citizens. India forced men to be sterilized after having fathered their second child and imposed fines and imprisonment as punishment for refusal. The program met with so much opposition that it effectively toppled the government of Prime Minister Indira Gandhi in 1977. Currently, India is back to a voluntary population control program. Bangladesh was similarly unsuccessful with its forced sterilization program, and continues to have a very high fertility rate. Singapore used both rewards and punishment in its goal to establish a two-child family. It was so successful that it has had to reverse itself and is encouraging people to have three or more children if they can afford to. China, which tried to use the reward-and-punishment combination, has initially had less success. The Chinese government launched a one-child-per-family campaign, offering substantial rewards to couples who produce only one child: from 1979 to 1986, this method worked so well that China’s birthrate was cut in half. But since 1986, the rate has begun to increase again, partly because some Chinese, having become more affluent, are willing to pay the fines to have more children. The result is that, having entered the 1990s with more than 1 billion people, China’s population will double by approximately 2025, especially because the Chinese government has rescinded the one child per family law at the end of 2015. India, however, will overtake China in total population by 2037. A population of more than 2 billion people strains the economy of any society, and particularly one that has made gains only of late and with great difficulty. The encouraging news, however, is that many of the developing countries have reached a fertility rate similar to that of the developed countries. India has a rate of 2.5; Chile, Brazil, and Thailand have rates lower than those of France, Norway, and Sweden (www.thebreakthrough.org/index.php/programs/conservation).

图 11.1世界各地社会现代化进程中伴随的三大趋势：人口急剧增长、农村人口涌入城市，以及由此带来的城市过度拥挤和工业体系对自然环境的破坏。例如，中国人口已超过十亿，其中许多人正涌入环境遭到破坏的城市。

IMAGE 11.1 The triple trends that follow the process of modernization in societies around the world include a dramatic increase in population, a rush by rural residents to the cities, and the consequent damage that urban overcrowding, as well as the industrial system, do to the natural environment. China, for instance already has more than a billion people, many of whom are crowding into environmentally damaged cities.

iStock：© Hung_Chung_Chih

iStock: © Hung_Chung_Chih

全球近98%的人口增长发生在最贫穷、欠发达地区，这些地区最无力养活大量人口。在许多这样的社会中，女性平均生育3.4个孩子，生育率最高（约6.5），避孕措施使用率最低（已婚女性为15%），婴儿死亡率最高，预期寿命最低，人均国内生产总值（GDP）也最低——仅为1130美元。（最新数据请查阅互联网上的人口参考局。）然而，2012年，全球每名女性平均生育的子女数量从1950年的5.0个下降到2.7个，但在撒哈拉以南非洲，平均生育率仍保持在5.2个。参见：www.prb.org/Publications/Datasheets/2013/2013wpds.aspx。

Almost 98 percent of the world’s population growth occurs in the poorest and less developed regions of the world that can least afford to support a large population. In many of these societies, where women have an average of 3.4 children, fertility rates are the highest (about 6.5), contraception use is the lowest (15 percent of married women), infant mortality rates are among the highest, life expectancy is among the lowest, as is the yearly gross domestic product (GDP) per capita—$1,130. (For the latest data, consult the Population Reference Bureau on the Internet.) However, in 2012 the average number of children per woman worldwide declined from 5.0 (1950) to 2.7, although in sub-Saharan Africa the average remained at 5.2. See: www.prb.org/Publications/Datasheets/2013/2013wpds.aspx.

全球避孕措施的使用率也从 20 世纪 60 年代的不到 10% 上升至 62%。

Worldwide contraception use also increased to 62 percent from less than 10 percent in the 1960s.

为什么欠发达国家的出生率居高不下？首先，由于医学和技术的进步渗透到工业化国家，降低了死亡率，但出生率却居高不下。由于工业化强加于这些社会，它们没有时间像工业化国家那样发展小家庭的价值。因此，物质文化和非物质文化之间存在着文化滞后。几千年来，孩子在农业社会中弥足珍贵：他们为人们提供耕作的双手，并为无法依靠养老金或社会保障的父母提供某种形式的养老保障。此外，在这样的社会中，性别不平等现象普遍存在，而男性生育多子女的能力是其男子气概的象征。在许多拉丁美洲国家，即使女性可能希望控制生育，并且懂得如何使用避孕措施，她们的男性也不会允许她们这样做。另一方面，在非洲农村，由于缺乏教育以及不了解受孕过程或有效的避孕方法，导致出生率高，婴儿死亡率和儿童死亡率也高（父母生很多孩子，希望至少有一些孩子能够存活下来）。

Why do birthrates remain high in the less developed countries? First, because of diffusion, advances in medicine and technology have filtered into industrializing nations, reducing the death rate while the birthrate remains high. Because industrialization has been superimposed on these societies, there has been no time to develop the value of small families, as happened in the industrial nations. Consequently, there is a cultural lag between material and nonmaterial culture. As they have been for thousands of years, children are valuable in agrarian societies: they offer hands to work the earth and constitute a kind of old-age insurance for parents who cannot count on pensions or Social Security. Moreover, gender inequality is prevalent in such societies, and a man’s ability to have many children is a symbol of his manliness. In many countries of Latin America, even though women may want to curb their fertility and do understand how to use contraceptives, their men will not allow them to do so. In rural Africa, on the other hand, lack of education and ignorance of how conception takes place or of effective forms of birth control contributes to the high birthrate, as do high infant mortality rates and death rates of children (parents have many children in the hope that at least some will survive).

图片 11.2人口增长率最高的地区是世界上最贫困的地区。在亚洲、非洲和阿拉伯的许多国家，女性通常生育5到8个孩子。

IMAGE 11.2 The highest rates of population growth occur in the poorest regions of the world. In many societies of Asia, Africa, and Arabia, women typically have between five and eight children.

iStock：©pixelfusion3d

iStock: © pixelfusion3d

城市社会

The Urban Society

放眼全球，人口向城市迁移的趋势持续不减。在发展中国家，每天都有成千上万的农村居民涌入大城市寻找工作，以逃避艰苦卓绝却回报微薄的生活。许多人从未找到那片乐土，只能住在简陋的棚屋里，靠自己的智慧勉强维持生计。在发达国家，一些城市依然保持活力，但也存在一些现象——例如高犯罪率，这使得城市生活远非理想。在已经以城市化为主的美国，许多城市正处于或曾经处于某种形式的危机之中。曾经是工商业中心的城市，人口和商业都流向了郊区。随之而来的是税收收入的减少，这些城市无法提供中产阶级居民所需的服务。因此，它们往往成为穷人和新移民的家园。向信息社会的转型使一些城市失去了其核心地位，因为就业机会流失且未能恢复。许多工作人士是郊区居民，工作时间以外不会留在城里。六点过后，城市街道变得空无一人。简而言之，尽管城市一直是世界各地人们的圣地，但在某些情况下，它们会走向衰败甚至消亡。

Around the globe, the movement toward the cities continues unabated. In developing countries, every day brings thousands of rural residents to the large urban centers in search of jobs in an effort to avoid a life of backbreaking work with few rewards. Many never find the promised land and are condemned to live in makeshift shacks, eking out a livelihood by their wits. In the developed nations, some cities have remained vital, but not without exhibiting certain phenomena—a high crime rate, for instance, that makes life in them less than ideal. In the United States, which is already a preeminently urban society, many cities are, or have been, in some form of crisis situation. Cities that were once centers of industry and commerce have lost population and business to the suburbs. With the consequent lower tax revenues, these cities cannot offer the services that middle-class residents demand. Consequently, they tend to become home to the poor and the recently arrived. The transition to an information society has deprived some cities of their essential role, as jobs have been lost and not recuperated. Many job holders are suburbanites who do not remain in the city outside work hours. City streets become deserted after six o’clock. In short, although cities have been meccas to people all over the world, in some situations they reach a point at which they decline and die.

城市化

Urbanization

如前所述，导致现代化的社会文化变革的最显著影响之一是社会的广泛城市化。城市化是城市及其郊区人口增长，农村地区却被蚕食的趋势。工业国家之所以城市化，是因为工厂建在人口稠密地区的中心地带，以便获得充足的劳动力。反过来，工业又吸引了周边地区的劳动力，从而促进了城市的发展。人口增长需要额外的服务，因此，它吸引了更多的商业企业。工业经济可以支撑人口稠密的地区，而农村地区的土地则必须用于农业，而不是用于容纳人口和商业。

As was mentioned earlier, one of the most significant effects of the sociocultural changes leading to modernization has been the extensive urbanization of societies. Urbanization is the population trend in which cities and their suburbs grow at the expense of rural areas. Industrial nations became urbanized because factories and plants were established in the center of populated areas so that a ready labor pool would be available. In turn, industry attracted labor from surrounding areas, resulting in the growth of cities. A larger population required additional services; hence, it acted as a magnet to more commercial enterprises. An industrial economy can support densely populated areas, whereas in rural areas the land must be used for agriculture rather than to accommodate people and commerce.

然而，城市化并不能解释城市人口增长的全部原因。由于出生率上升、死亡率下降或海外移民涌入，城市人口可能在不减少农村人口的情况下增长。或者，城市人口的增长可能是由于城乡人口总体增长。发展中国家的情况就是如此，由于卫生和医疗水平的提高，死亡率有所下降，但生育控制的价值观却未能跟上。在美国，城市化现象十分普遍：82% 的人口居住在城市。

Urbanization, however, does not account for all city growth. As a result of increased birthrates, decreased death rates, or immigration from abroad, cities may grow without a parallel decrease in rural population. Or they may grow because of overall population increase in both rural and urban areas. This has been the case in developing nations, where the death rates have been cut by improved hygiene and medical findings, but values regarding the control of births have not caught up. Urbanization is pervasive in the United States: 82 percent of the population is urban.

从乡村生活向城市生活的转变始于英国的工业革命。城市工厂吸引了大批无法再依靠土地谋生的人们。科技进步改进了农业生产方式。新型钢铁犁、收割机、脱粒机、拖拉机和联合收割机承担了过去大量由人类完成的工作。轮作、化肥、灌溉以及病虫害防治提高了每英亩土地的产量，而无需增加额外的人力。

The shift from rural to urban living began with the Industrial Revolution in Great Britain. Factories located in cities attracted a large number of people who could no longer make a living on the land. Science and technology had improved agricultural methods. New iron and steel plows, reapers, threshers, harvesters, tractors, and combines did much of the work once done by humans. Crop rotation, chemical fertilizers, irrigation, and insect and disease control increased yields per acre without necessitating additional human labor.

农业方法的持续改进也直接导致了美国农村人口的减少。粮食生产的超高效率导致小农户的消失，迫使许多年轻农民放弃乡村生活方式，选择城市生活。与此同时，商业化农业创造了对农业机械的需求，而这些机械是在城市中心生产的，这进一步加剧了城市化的趋势。因此，城市化一直是所有工业化国家和正在工业化的国家的标志。

The continued improvements in agricultural methods led directly to a decline in the rural population in the United States as well. Super-efficiency in food production has resulted in the disappearance of the small farmer, forcing many young farmers to abandon the rural way of life in favor of city life. At the same time, commercial agriculture creates a demand for agricultural machinery, which is produced in urban centers, adding still more to the trend toward urbanization. Urbanization, then, has been the hallmark of all industrial and industrializing nations.

截至2014年，全球约有54%的人口居住在城市地区，预计到2050年这一比例将增长到66%（联合国，2014年；参见：www.un.org/en/development/desa/news/population/world-urbanization-prospects-2014.html）。这与1900年相比有很大差异，当时86.4%的人口居住在农村，只有13.6%的人口居住在城市（Palen，2006年）。城市化作为一种人口运动仍在继续：在美国，如前所述，约有80%的人口居住在城市地区。非洲和亚洲的城市化速度最快，但到21世纪，拉丁美洲70%的人口也将居住在城市地区。此外，这些地区的规模越来越大：20世纪初，人口超过200万的城市只有4个，但到1990年，这样的城市已达87个，如今，城市及其周边地区已发展到惊人的规模。敬请关注前文提到的联合国网站上世界各国城市生活的变化。（见表11.4）

As of 2014, approximately 54 percent of people worldwide lived in urban areas, a percentage that is estimated to grow to 66 percent by 2050 (United Nations, 2014; see: www.un.org/en/development/desa/news/population/world-urbanization-prospects-2014.html). This represents quite a difference from 1900, when 86.4 percent were rural dwellers and only 13.6 percent lived in cities (Palen, 2006). Urbanization as a population movement is continuing: in the United States, as already noted, approximately 80 percent of people live in urban areas. The fastest rate of urbanization is claimed by Africa and Asia, but 70 percent of the population of Latin America will also live in urban areas in the twenty-first century. Moreover, these areas are becoming larger and larger: at the beginning of the twentieth century there were only four cities with a population of over 2 million, but there were 87 such cities by 1990, and today cities and their surrounding areas have grown to tremendous sizes. Note the changes to urban living in the various countries of the world at the UN Web site noted earlier. (See Table 11.4.)

城市化

Urbanism

工业社会正在经历一场城市转型，其最终结果是城市化成为一种生活方式。与持续进行的城市化进程不同，城市化是一种状态、一套态度、一种品质或一种有别于乡村的生活方式。它指的是以农业为主的社会传统的乡村价值观已被城市价值观所取代。此外，这些城市价值观通过大众媒体在全球传播，使得所有工业化国家都开始变得面目一新，思维方式也趋于一致。

Industrial societies have been undergoing an urban transition whose ultimate effect is urbanism as a way of life. In contrast to urbanization, which is an ongoing process, urbanism is a condition, a set of attitudes, a quality, or a way of life distinct from the rural. It refers to the fact that the traditional rural values of predominantly agricultural societies have been replaced by urban values. Moreover, these urban values are spread through the mass media globally, so that all industrial nations are beginning to look and think alike.

从农村到城市的转变迫使人们做出调整，这些调整对人格和社会组织产生了深远的影响。核家庭形式的孤立、缺乏由大家庭、朋友和邻居所代表的支持网络、与主要群体联系的分离，所有这些都导致个人行动自由的增加。但是在匿名情况下的行动自由可能导致被认为是越轨或反社会的行为。个人可能成为失范和疏离的受害者。实际上，主要群体非正式控制的减少必然会导致政府机构、警察和法院等次要群体加强正式控制。因此，城市居民为摆脱主要群体干预而付出的代价是官僚主义加剧和非人性化的生活方式。在本世纪初，社会科学家认为大城市生活会导致社会解体，并导致社区衰落，因为城市中没有就多种规范达成一致。

The transition from rural to urban residence has forced people to make adjustments that have had profound effects on personality and on social organization. The nuclear form of the family, the lack of a support network represented by the extended family and friends and neighbors, separation from the ties of the primary group, all led to an increase in individual freedom of action. But freedom of action in anonymous circumstances can result in behavior that is considered deviant or antisocial. The individual can become a victim of anomie and alienation. In practical terms, a decrease in informal controls by the primary group necessitates an increase in formal controls by secondary groups such as government agencies, the police, and the courts. So the urban resident pays the price for freedom from primary group interference by increasing bureaucratization and an impersonal lifestyle. In the early decades of the century, social scientists felt that life in the big city was conducive to social disorganization and led to a decline of community because in the city there is no agreement on a multiplicity of norms.

表 11.4 2015 年世界十大人口最多的城市

TABLE 11.4 Top Ten Most Populated Cities in the World: 2015

日本东京

Tokyo, Japan

印度尼西亚雅加达

Jakarta, Indonesia

韩国首尔

Seoul, South Korea

印度德里

Delhi, India

中国上海

Shanghai, China

菲律宾马尼拉

Manila, Phillippines

巴基斯坦卡拉奇

Karachi, Pakistan

美国纽约

New York, US

巴西圣保罗

Sao Paulo, Brazil

墨西哥墨西哥城

Mexico City, Mexico

资料来源：http://jrsmag.com/most-populated-cities-in-the-world

Source: Information from http://jrsmag.com/most-populated-cities-in-the-world

美国城市

American Cities

只需参考一些统计数据，美国城市化的程度便一目了然。1790年进行第一次人口普查时，95%的人口居住在农村地区，只有5%的人口居住在城市。到1987年，只有2%的人口居住在农场，而到2008年，农村人口比例更是不足17%。简而言之，从英国传入的工业革命带来的城市化趋势，导致数量惊人的人口聚集在城市，并带来了巨大的社会、经济和政治变革。

The extent of urbanization in the United States is clear when a few statistics are considered. When the first census was taken in 1790, 95 percent of the people lived in rural areas and only 5 percent lived in cities. By 1987, only 2 percent of the population lived on farms, and by 2008, less than 17 percent were described as rural residents. In short, the urban trend introduced by the Industrial Revolution imported from Britain had caused an astonishingly large number of people to be brought together in cities, effecting tremendous social, economic, and political changes.

工业大都市的增长和主导地位持续到20世纪50年代。此后，一场反向运动（有时被称为城市去中心化）开始出现（Edmonston & Guterbock，1984）。这场运动包括郊区化、特大城市或区域性城市的增长，以及东北部和中西部中心城市的人口流失，转向西部和阳光地带。

The growth and dominance of the industrial metropolis continued into the 1950s. Since then, a countermovement, sometimes referred to as urban decentralization, has been taking place (Edmonston & Guterbock, 1984). This movement includes suburbanization, the growth of megalopolis or regional cities, and the loss of population from central cities in the Northeast and Midwest in favor of the West and the Sunbelt.

郊区

Suburbia

如上所述，从19世纪中叶到20世纪50年代，人口向城市地区迁移。此后，人口向郊区化和大都市化发展，人口从中心城市向外迁移，但人口回流到农村地区。最显著的增长发生在郊区，即位于中心城区边缘、在一定程度上依赖于中心城区的小型社区。郊区居民数量现已超过中心城区居民数量。

As stated, from the middle of the nineteenth century until well into the 1950s, the population trend was toward urban areas. Since then, the trend has been toward suburbanization and metropolitanization, movements out and away from the central city but not back toward the rural areas. The most significant growth occurred in the suburbs, small communities on the outskirts of the central city and somewhat dependent on it. Residents of suburbs now outnumber residents of the central city.

迁往郊区的原因多种多样。首先，城市扩张速度过快，工业和商业侵占了住宅区，迫使人们迁离市中心越来越远。其次，生活水平的普遍提高使得人们能够在比城市更便宜的土地上建造更大、更舒适的房屋。人们也开始想要逃离城市的肮脏、犯罪和噪音。最后，汽车的广泛使用使得人们能够前往离家很远的地方工作。

The movement to the suburbs has had a variety of causes. First, cities expanded so rapidly that industry and business encroached on residential areas, forcing people to move ever farther from the city center. Second, a general increase in the standard of living permitted people to build larger and more comfortable homes on land that was cheaper than land in the city. People also began to want to escape the dirt, crime, and noise of the city. Finally, the widespread use of the automobile for transportation made it possible for people to reach jobs that were far from home.

消费文化对郊区发展的影响

The Impact of the Consumer Culture on the Growth of Suburbia

第二次世界大战后，多种因素共同催生了消费文化，并逐渐成为美国文化的主导。消费文化的本质在于对物质财富的获取，而这些财富的获取源于富裕、流动性和闲暇。例如，汽车的量产使其价格低廉，大多数人都能负担得起，这促进了高速公路系统的发展，使汽车能够自由快速地行驶。反过来，高速公路又对郊区化的蔓延起到了至关重要的作用，最终使其成为一种普遍的全国性现象。与此同时，社会变革的其他方面也逐渐显现，并因郊区化而得到强化。

Following World War II, a combination of factors had brought in a consumer culture, which has since come to dominate American culture. The essence of the consumer culture is a focus on acquisition of material objects made possible by affluence, mobility, and leisure. For instance, the automobile, mass-produced and, thus, cheap enough to be available to a majority of people, led to the growth of the highway system on which the automobile could move freely and rapidly. In turn, highways were especially responsible for the spread of suburbanization to the extent that it became a pervasive national phenomenon. At the same time, other facets of social change became apparent and were reinforced by suburbanization.

正如之前的城市一样，郊区也孕育了独特的生活方式，这种生活方式的核心是父亲长时间不在家，需要私家车，以及开车送孩子参加各种活动。此外，去购物中心或郊区商场也成了郊区居民的休闲娱乐中心。二战后经济繁荣，使得一个家庭成员——通常是丈夫和父亲——可以成为唯一的养家糊口的人，而妻子和母亲则负责开车和购物。

As the cities had done before them, the suburbs spawned their own lifestyle, revolving around the absence of the father for long portions of the day, the necessity for a private vehicle, and the chauffeuring of children to various activities. In addition, trips to the shopping center or suburban mall had become the focus of recreation for suburbanites. The booming post-World War II economy permitted one family member—usually the husband and father—to be the sole breadwinner, leaving the wife and mother to do the chauffeuring and shopping chores.

最初，郊区吸引的是那些计划生育较大家庭的年轻夫妇——二战后婴儿潮一代的父母。战后经济提高了个人收入，也提供了抵押贷款，因此拥有住房首次成为大多数人可以实现的梦想。早期郊区居民大多年龄在25岁至45岁之间，子女的年龄从婴儿期到青少年不等。他们大多是白人，中等收入，高中毕业，政治立场保守，道德观念“端正”。由此，郊区逐渐形成了“卧室社区”的刻板印象，那里的房屋几乎千篇一律。

Originally, the suburbs attracted young married couples who were planning fairly large families—the baby boom parents of the years following World War II. The postwar economy increased individual incomes and made mortgage money available, so that for the first time home ownership became a dream a majority could fulfill. Most of the early suburbanites were between 25 and 45 years old, with children ranging in age from infancy to the teens. They were predominantly white, middle-income, high school graduates, politically conservative, and morally “proper.” From these beginnings developed the stereotype of the suburbs as “bedroom” communities of almost identical homes.

郊区和社会阶层

Suburbia and Social Class

如今，城市的异质性在郊区也同样存在。随着离婚率的上升，郊区的单亲家庭数量与城市一样多。因此，城市居民过去对郊区的概括在很大程度上已被证明是错误的。此外，尽管郊区化最初是由中产阶级或中上阶层背景的白人发起的，导致了高度的种族隔离，但自20世纪70年代以来，少数族裔也纷纷涌入郊区。如今，郊区化似乎完全是社会阶层的产物：中产阶级黑人正从城市迁往郊区，就像一二十年前他们的白人同胞一样。事实上，如此多较为富裕的少数族裔正在离开城市中心，以至于一些社会学家担心，由于离开的主要是中产阶级和稳定的工人阶级，城市衰败必然会加剧（DeWitt，1994，A12）。郊区化已经成为一种由社会阶层定义的运动，主要是因为人们认为中心城市存在一些问题：犯罪、学校质量差、社区不安全等等。

Today, the heterogeneity of the city is also found in the suburbs. With increasing rates of divorce, single-parent homes are to be found in the suburbs as frequently as in the city. Thus, the generalizations that urban residents used to make about the suburbs have been largely proved wrong. In addition, whereas originally suburbanization was a movement of white persons of middle-class or upper-middle-class background, leading to a high degree of racial segregation, minorities have also flocked to the suburbs since the 1970s. It appears that suburbanization is solely a function of social class now: middle-class blacks are moving from cities to suburbs much as their white counterparts did a decade or two earlier. In fact, so many of the more affluent minorities are leaving urban centers that some sociologists fear that urban deterioration cannot help but increase because those who are leaving are predominantly the middle and solid working class (DeWitt, 1994, A12). Suburbanization has become a movement defined by social class primarily because of the problems that are perceived to exist in central cities: crime, poor schools, unsafe neighborhoods, and so on.

社会阶层也以其他方式对郊区产生影响。由于各种原因，包括经济衰退，更多郊区家庭的收入中位数在1979年至1989年以及2008年之后实际下降，而非收入增长。最终结果是，工薪阶层郊区遭受了损失，就像中心城市一样，而富裕郊区则发展繁荣。郊区之间的收入差距加剧了不同收入人群彼此隔离的状况（Minerbrook，1992）。

Social class has repercussions on suburbs in other ways, too. For a variety of reasons, including a downturn in the economy, more suburban households saw real declines in median household income from 1979 to 1989 and again from 2008 on, rather than income growth. The net result has been that working-class suburbs have suffered, much as central cities have, while affluent suburbs have grown and prospered. This income gap between suburbs adds to a situation in which people of different incomes live isolated from one another (Minerbrook, 1992).

起初，郊区依赖中心城区进行购物、商业、文化和娱乐活动。后来，城市和郊区变得相互依存，郊区为仍在城市中的企业和工业提供劳动力。然而，郊区越来越独立于城市。企业和工业纷纷迁往郊区，并落户于大型购物中心和专业综合体。如今，郊区居民可以在当地获得工作机会和便利设施。郊区的蓬勃发展是以牺牲中心城区为代价的，随着人口和商业的迁出，中心城区失去了重要的税基。没有税收，城市就无法提供重要的设施，迫使更多的人口和商业迁出。最终，中心城区只剩下破败的交通系统、陈旧的实体设施、不足的警力保障和简陋的学校。只有那些无力搬走的人才能留下来。

At first, suburbs depended on the central city for shopping and for commercial, cultural, and recreational activities. Later, city and suburbs became interdependent, with the suburbs providing the labor force for business and industry that were still housed in the city. Increasingly, however, suburbs are independent of the city. Business and industry have relocated in the suburbs and are housed in large shopping malls and professional complexes. Both jobs and facilities are now locally available to the suburban resident. Suburbs have mushroomed at the expense of the central city, which lost an important tax base when people, commerce, and industry moved away. Without tax money, the city cannot provide important facilities, forcing more people, commerce, and industry to move out. The central city is then left with a run-down transportation system, outmoded physical facilities, inadequate police protection, and poor schools. Only those who cannot afford to move out remain.

郊区的历史一直如此，直到2008年，经济危机开始迫使一些低收入人群在郊区边缘地区买房或租房，而这些地区的中产阶级居民则开始返回更靠近市中心的地方。这个过程被称为人口倒置。您可以通过谷歌搜索“人口倒置”来了解更多信息，也可以参阅《时代》杂志一篇基于《郊区的终结》一书的文章， www.ideas.time.com/ 2013/07/31/the-end-of-the-suburbs/ 。

This has been the history of suburbia until 2008, when the economic crisis began pushing some lower-income persons to buy or rent on the fringes of suburban areas, while the middle-class residents of these areas began to return to more urban centers. This process is called demographic inversion. Read more about this by googling the term and see also an article in Time Magazine based on a book entitled ‘The End of the Suburbs,” www.ideas.time.com/2013/07/31/the-end-of-the-suburbs/.

图片 11.3购物中心是郊区化和市中心衰落的产物。除了购物之外，它们还提供了聚会、聊天、用餐、就医，有时甚至参加宗教仪式的场所。

IMAGE 11.3 Shopping malls are a consequence of suburbanization and the decline of city centers. They offer a place to gather, chat, eat, visit a doctor, and sometimes attend religious services, in addition to shopping.

大都市化和特大城市

Metropolitanization and Megalopolis

有些郊区发展得如此之大，以至于它们本身就成为了城镇。这些小城市、更小的郊区以及它们所围绕的中心城市构成了生态城市，或大都市区。美国人口普查局使用“大都市区”这一统称作为人口计量单位的基础。

Some suburbs have grown so large that they have become towns and cities in their own right. These small cities, smaller suburbs, and the central city around which they are clustered make up the ecological city, or the metropolitan area. The U.S. Bureau of the Census uses “metropolitan areas,” a collective term, as the basis for measuring units of population.

标准大都市统计区 (SMSA)由一个或多个县组成，其中至少包含一个人口超过 50,000 的城市，或两个人口总和达到该数字的城市。人口达到或超过 100 万的大都市地区被指定为合并大都市统计区 (CMSA)。微型都市统计区由一个人口 10,000 但少于 50,000 的城市群组成。核心统计区(CBSA) 一词于 2000 年创造，是对大都市统计区和微型都市统计区的统称。截至 2013 年，美国共有 20 个 CMSA、381 个大都市统计区和 536 个微型都市统计区，其中最大的是纽约、长岛和新泽西北部，人口为 2100 万，洛杉矶、河滨和阿纳海姆人口超过 1600 万。这些地区完全是城市化的，因此更容易被称为地区而非城市。请参阅：www.census.gov/population/metro/about/htm。

The Standard Metropolitan Statistical Area (SMSA) consists of one or more counties containing at least one city of over 50,000 people or two cities totaling that number. Metropolitan areas with populations of 1 million or more are designated as Consolidated Metropolitan Statistical Areas (CMSAs). The Micropolitan Statistical Area comprises one urban cluster of 10,000 but less than 50,000 people. The term Core Based Statistical Area (CBSA), coined in 2000, refers collectively to metropolitan and micropolitan statistical areas. As of 2013, there were 20 CMSAs in the United States, 381 metropolitan statistical areas, and 536 micropolitan statistical areas, the largest ones being New York, Long Island, and northern New Jersey, with a population of 21 million, and Los Angeles, Riverside, and Anaheim with over 16 million. So thoroughly urban are these areas that it is easier to refer to them as regions of the country rather than cities. See: www.census.gov/population/metro/about/htm.

定义大都市圈的主要标准是其拥有“受控”的经济。这意味着它是大多数人居住、工作、收入和消费的区域。截至21世纪的第一个十年，美国的大都市统计区和微型都市统计区约占全国人口的80%，几乎涵盖了该国所有非农村地区。这种大都市化模式代表着大都市圈主导地位的回归，这种主导地位始于上世纪第二个十年。

The principal criterion for a definition of metropolitan area is that it has a “contained” economy. This means that it is an area where a majority of people live, work, earn, and spend. As of the first decade of the twenty-first century, the metropolitan statistical areas and the micropolitan statistical areas in the United States constituted about 80 percent of the nation’s population, or almost all of the nonrural portion of the country. This pattern of metropolitanization represents a return to the dominance of metropolitan areas, which began in the second decade of the past century.

大都市圈的发展意味着大量人口集中在相对较小的区域。这种趋势损害了中心城市，并给地方政府带来了问题，因为大都市圈内的每个市、县、乡镇、城市和村庄都各自拥有自己的政府。在这种官僚主义的迷宫中，邻近政府的机构和官员经常相互冲突，导致资金和资源的浪费。城市专家长期以来一直倾向于某种形式的大都市政府，但联邦研究得出结论，只有广泛的区域政府才能缓解大都市圈的混乱局面。

The growth of metropolitan areas has meant a large concentration of people in comparatively small areas. This trend damages central cities and creates problems in local governments because each municipality, county, township, city, and village within the metropolitan area maintains its own government. In this bureaucratic maze, agencies and officials of neighboring governments are often at odds with one another, resulting in a waste of money and resources. Urban specialists have long favored some form of metropolitan government, but federal studies have concluded that nothing short of a broad regional government will relieve the chaotic situation of metropolitan areas.

特大城市

Megalopolis

大都市区数量的增加导致美国以及其他工业化国家出现一种城市蔓延现象，即特大城市群。在特大城市群中，一个大都市区与另一个大都市区无缝衔接。五大湖链就是这样一个城市群，它始于布法罗，一直延伸到密尔沃基并进一步向西。到 2012 年，仅这一城市群中的人口估计就有 500 多万。另一个特大城市群是波士顿-华盛顿城市群，人口约为 8000 万，而第三个快速发展的特大城市群从圣地亚哥延伸到旧金山湾区。在全球范围内，日本、英国、西北欧、意大利北部、巴西以及现在的中国都有特大城市群。城市社会学家指出，特大都市圈并非仅仅是一个过度扩张的大都市区域，而是一个沿着“交通和通讯主轴”分布的城市系统（Gottman，1978，56）。特大都市圈相互依存，因为它们不仅共享物理基础设施——公路、铁路、水路、电话线、管道、供水和污水处理系统——还共享交通流量、人员和货物流动以及电缆、电话和邮件的流动。与此同时，特大都市圈可能依然保持着极其多样化的面貌，包含城市、城镇、村庄和郊区，其人口结构也因社会阶层和种族的不同而有所差异，因此各个区域之间呈现出一种马赛克般的景象。您可以在互联网上找到各大都市区的具体描述和列表。请参阅：www.proximityone.com/metros2013.htm。

The large number of metropolitan areas is leading to a phenomenon in the United States as well as in other industrial nations, that of urban sprawl known by the term megalopolis. In a megalopolis, one metropolitan area is joined to another without interruption. One such complex is the Great Lakes chain, beginning in Buffalo and continuing solidly to Milwaukee and farther west. By the year 2012, an estimated 5-plus million people were housed in this complex alone. Another megalopolis, the Boston–Washington complex, contains around 80 million people, while a third rapidly growing megalopolis is the one extending from San Diego to the San Francisco Bay area. On a global level, there are megalopolises in Japan, Great Britain, northwestern Europe, northern Italy, Brazil, and now in China. Urban sociologists point out that a megalopolis is not just an overgrown metropolitan area but rather a system of cities distributed along “a major axis of traffic and communication” (Gottman, 1978, 56). Megalopolises are interdependent because they share not only the physical infrastructure—highways, railways, waterways, telephone lines, pipelines, water supply, and sewage systems—but also the flow of traffic, the movement of people and goods, and the flow of cables, telephone calls, and mail. At the same time, the megalopolis may remain exceedingly varied, containing cities, towns, villages, and suburbs, with their diverse populations also differentiated by social class and ethnicity, so that the regions resemble a mosaic. Descriptions and a listing of the largest metropolitan areas may be found on the Internet. See: www.proximityone.com/metros2013.htm.

城市危机

The Urban Crisis

美国城市陷入困境的消息已为媒体广为报道。城市危机由两部分组成。首先，郊区化导致城市难以提供所有必要的服务，许多中上阶层家庭以及企业和行业的撤离，导致税收损失增加。其次，美国正在经历增长的地区发生了转变。由于工业岗位日益稀缺，美国东北部和中北部地区较老、较大的城市正在失去人口，而南部和西南部许多新建城市的增长速度超过了全国平均水平。密歇根州底特律市由于人口和就业岗位的流失，已宣布破产。该市已开始拆除废弃的房屋，将城市重新变成农业区。底特律正在经历一些复兴，但远非一座成功的城市。详情请参阅：www.economyincrisis.org/content/detroit-americas-war-torn-city.htm。

It has been well publicized by the media that American cities are in trouble. The crisis of the cities has two components. First, suburbanization left the cities struggling to provide all the necessary services, and the departure of many upper-middle-class families, in addition to businesses and industries, resulted in a loss of more tax revenues. Second, there has been a shift in the regions of the country that are experiencing growth. The older, larger cities in the northeastern and north-central areas of the country are losing population as industrial jobs are becoming scarcer, while southern and southwestern cities, many of them new, are growing faster than the national average. The city of Detroit, Michigan, having lost population and jobs, has declared bankruptcy. It has begun to tear down abandoned housing, turning the city back into an agricultural area. It is experiencing a bit of renewal, but it is far from a successful city. See: www.economyincrisis.org/content/detroit-americas-war-torn-city.htm.

由于城市发展速度过快，其物理形态缺乏规划，社会结构也因此引发诸多问题。城市人口高度集中，导致建筑物密集且层高错落。如果没有合理的规划，这种必然性可能会导致城市环境丑陋，缺乏绿地和开放空间，最终形成“沥青丛林”般的景象。现代城市规划师更加重视城市外观的美观，因此未来的城市或许会比过去的城市更具吸引力。

Because cities have tended to grow rapidly, very little planning has gone into their physical shape, and their social structure has also given rise to problems. The large concentration of people in cities requires buildings that are close together and many stories high. Without proper planning, this necessity can lead to ugliness, to lack of green and open spaces, to an “asphalt jungle” look. Modern city planners are much more aware of the need to pay special attention to a pleasing appearance, so that the cities of the future will probably be much more attractive than those of the past.

夺回这座城市的尝试

Attempts to Reclaim the City

许多城市一直在积极反击，试图重拾昔日的地位。首先，城市仍然提供许多令人向往的活动和就业机会，因此吸引了大量人口。许多年轻的专业人士更倾向于居住在市中心，靠近工作地点和娱乐场所。即使是已婚夫妇，也发现城市的房产比郊区更合算。许多“绅士化”的例子，即中产阶级和职业家庭重新占领衰败的社区，正在引起人们的关注。然而，绅士化也受到了批评，因为那些原本居住在绅士化社区的居民，不得不从他们负担得起的住房搬到更糟糕的地区。

Many cities have been fighting back vigorously to regain their former status. For one thing, cities still offer many desirable activities and jobs and so attract a substantial number of people. Many young professionals prefer to live in the central districts, near jobs and entertainment. Even married couples with children find real estate in cities to be more within their means than in the suburbs. Many instances of “gentrification,” or the reclaiming of decaying neighborhoods by middle-class, professional families, are being noted. Gentrification, however, has been criticized because the former residents of the gentrified neighborhoods are moved from housing they could afford into even worse areas.

城市更新

Urban Renewal

当政府试图通过城市更新项目解决城市困境时，也引发了同样的批评。自从工业革命将农村人口带入城市以来，城市贫民窟一直是工业社会的现实。总有至少一群人，由于各种原因，无法找到工作，因此只能在政府的帮助下生活在社会边缘。然而，二战后，政府除了帮助城市贫民窟之外，贫困人口，开始向城市提供贷款，用于建设廉价住房，后来又用于拆除贫民窟和建设公共住房。

The same criticism was raised when the government tried to resolve the plight of the cities through programs of urban renewal. Urban slums had been a reality in industrial societies ever since the Industrial Revolution brought rural people into the cities. There was always at least one group of people who, for a variety of reasons, could not find work and, thus, were condemned to live on the fringes of society, with government help. Following World War II, however, the government, in addition to simply helping the urban poor, began to provide loans to cities for building low-cost housing and later for slum clearance and public housing.

不幸的是，这些项目从未奏效。贫民窟清理导致城市贫民从一个街区迁往另一个街区，居民得不到任何好处，只有参与清理和建设的人受益。公共住房也同样收效甚微。居住在公共住房中会背负一些耻辱感，居民也没有理由表现出任何拥有住房的自豪感。因此，这些本来就粗制滥造、未考虑民众需求的房产，很快就遭到了肆意破坏和破坏。

Unfortunately, these programs never worked. Slum clearance resulted in moving the urban poor from one neighborhood to another, with no benefit to the residents, only to those involved in the clearance and construction businesses. Public housing had equally little success. There is some stigma attached to living in public housing, and residents have no reason to display any pride of ownership. Therefore, the property, already shoddily built without consideration of people’s wants and needs, is soon subject to acts of vandalism and wanton destruction.

政府还试图向收入不足的人群提供补贴，以便他们能够在私人住房市场上竞争。但这些尝试收效甚微。租赁房产的业主歧视多子女家庭、女性户主家庭或父亲残疾的家庭。人们担心社区会被“不良分子”占领。出于同样的原因，郊区和小城镇实际上将公共住房或联邦政府补贴的廉租房拒之门外。

The government has also tried to offer subsidies to people with insufficient incomes so that they may compete in the private housing market. These attempts have met with little success. Owners of rental property discriminate against families with many children or those with women as heads of households or in which the father is disabled. There is the fear of neighborhoods being overrun by an “undesirable” element. Suburbs and small towns have effectively kept out public housing or federally subsidized low-rent housing for the same reasons.

城市更新对于城市危机而言并非有效补救措施。如果同样的人继续住在翻新的建筑里，他们能从中受益，但城市却得不到好处，因为他们仍然无力缴纳更高的税款。另一方面，如果拆除贫民窟，建造新的高价住宅、商业建筑或购物中心，城市会从中受益，因为这些建筑提供了良好的税基，但那些被迫迁离的原居民却得不到好处。然而，城市却能够吸引中上阶层居民，甚至郊区的购物者。人们会涌向新装修的剧院和餐厅，从而为城市居民创造就业机会。

Urban renewal is an ineffective remedy for the crisis of the cities. If the same people continue to live in renovated buildings, the benefits accrue to them but not to the city because they continue to be unable to pay higher taxes. On the other hand, if slum areas are cleared in favor of new, expensive housing, commercial buildings, or shopping centers, benefits accrue to the city because these structures provide a good tax base, but not to the former residents, who are displaced. However, the city is then able to attract middle- and upper-class residents and even shoppers from the suburbs. People come to the newly refurbished theaters and restaurants, and jobs can be created for city residents.

城市的未来

The Future of Cities

21世纪城市的命运充满不确定性。在美国，城市集中了社会面临的大多数社会问题：犯罪、贫困、种族冲突、环境恶化。同时，大都市圈越大，就业、娱乐和教育的机会就越好。一些城市思想家坚信，城市能够复兴，因为它们承担着人类最重要的功能：提供一个聚集的场所（Whyte，1989）。另一些人则不那么乐观，尤其是考虑到城市化是一个持续的过程，而21世纪城市居民的数量更是惊人。除了困扰美国城市的所有问题之外，一些城市的环境污染已经开始影响居民的健康。政府似乎亟需制定城市生存战略，但这条道路充满障碍，成本高昂。

The fate of cities in the twenty-first century is uncertain. In the United States, cities contain most of the social problems that face society: crime, poverty, racial conflicts, environmental degradation. At the same time, the larger the metropolitan area, the better are the opportunities for employment, recreation, and education. Some urban thinkers are convinced that cities can be revitalized because they serve the most important human function: they offer a place for coming together (Whyte, 1989). Others are less optimistic, particularly in view of the fact that urbanization is an ongoing process, and the sheer numbers of people who will be urban residents in the twenty-first century are staggering. In addition to all the problems that plague American cities, the environmental pollution in some of these cities is beginning to affect the residents’ health. It seems imperative that governments plan a survival strategy for cities, but the road is strewn with obstacles and high costs.

自然环境

The Natural Environment

人口及其建立的物质和社会结构存在于自然环境的框架内。正是由于人口增长和人们对其栖息地的漠视，自然环境才逐渐遭到破坏。在亚洲，人口过剩导致土地因过度使用而退化，水资源供应持续紧张，农业也因水土流失而陷入困境。在全球范围内，人口持续增长可能会耗尽全球资本，并阻止较贫穷的国家投资于可能限制人口持续增长的技术发展。因此，环保主义者认为未来末日般的景象。如果发生最坏的情况，无数人将成为环境难民，淹没那些试图保护土壤、水源和森林的国家。如今年轻人的曾孙辈将不得不与一群适应能力较弱的物种共享地球，这些物种主要由老鼠、蟑螂、野草和微生物组成。他们生存的世界将主要由沙漠、零星的热带森林、被侵蚀的山脉、死亡的珊瑚礁和荒芜的海洋组成，所有这些都饱受极端天气的侵袭（Linden，1992，64）。这份灾难清单甚至还不包括全球变暖带来的额外危险。

Populations and the physical and social structures they erect exist within the framework of a natural environment. This natural environment has been progressively damaged precisely because of the growth of population and the disregard in which people have held their habitat. In Asia, overpopulation has led to land degradation by overuse, water supplies are constantly under strain, and agriculture is handicapped by soil and water depletion. On a global scale, unabated expansion of populations may soak up the world’s capital and prevent the poorer nations from investing in technological development that might limit continued population growth. Environmentalists, therefore, paint apocalyptic pictures of the future. If the worst occurs, countless millions would become environmental refugees, swamping the nations that tried to conserve their soil, water, and forests. The great-grandchildren of today’s young people would have to share the planet with only a ragged cohort of adaptable species dominated by rats, cockroaches, weeds, and microbes. The world in which they survived would consist largely of deserts, patches of tropical forests, eroded mountains, dead coral reefs, and barren oceans, all buffeted by extremes of weather (Linden, 1992, 64). This list of catastrophes does not even include the additional danger represented by global warming.

这是一个多么美好的世界，值得我们生活在其中，并留给子孙后代作为遗产！专家们认为，防止这种情况成为现实的方法是“将人口数量减半，使世界人口在本世纪中叶不超过80亿”（Linden，1992，64），并防止导致全球气温上升的人类活动。

What a world to live in and to leave to our descendants as their inheritance! And the ways to prevent this scenario from becoming reality, in the experts’ opinion, is to “cut human propagation in half, so the world’s numbers do not exceed 8 billion by midcentury” (Linden, 1992, 64) and to prevent the kinds of human activity that promote the rise in global temperature.

我们生活的世界

The World We Live In

自然环境是特定区域内自然条件和资源的总和。它由地形、气候、自然植被、土壤、本土动物、地下水和地表水以及矿产资源等要素构成。这些要素并非一成不变，而是随时间变化，并且在世界不同地区存在差异。

The natural environment is the total complex of natural conditions and resources that occur in specific areas. It consists of such elements as landforms, climate, natural vegetation, soils, native animal life, underground and surface waters, and mineral resources. These elements do not remain static but vary from time to time and are different in different areas of the world.

环境与人类及其文化之间存在着互惠关系。环境影响着人们生活的方方面面，塑造着他们的传统和制度；反过来，环境又受到人类的影响，而且往往是负面的。然而，这种关系并非简单直接。在相似的环境中，人们的生活方式可能有所不同，甚至在同一环境中的不同时期，人们的生活方式也可能不同。同样，对土地利用持有不同看法的人们，也可能以不同的方式利用同一类型的物理环境。

There is a reciprocal relationship between the environment and people and their cultures. The environment affects almost every facet of people’s lives, shaping their traditions and institutions; in turn, it is affected by people, often negatively. However, this relationship is not simple and direct. People can live differently in similar environments and even differently at different times in the same environment. And the same type of physical environment may be used in different ways by people who perceive land use differently.

生态系统

The Ecosystem

正是那些曾经让人们控制死亡率、导致人口激增、并将大量人口挤入拥有工业岗位的城市的技术，如今却因忽视或破坏自然环境而危及地球上的人类生存。忽视环境并非新鲜事；然而，早期人类视自己为自然世界中微不足道的居民，与他们息息相关，并依赖于自然。尽管他们的一些行为破坏了环境，但他们的行为是出于无知。如今，复杂的技术生产出无数方便人类生活的物品，这激发了当代人类一种观念，即他们掌控着世界，甚至掌控着宇宙。因此，我们原始祖先的谦卑态度——他们试图安抚动植物的灵魂——他们认为动植物的存在和福祉是他们的责任——已被人类无所不能的自信所取代。这种傲慢的态度对生态系统构成了威胁。

The very technology that allowed people to limit the death rate, prompted spurts in population, and crowded large numbers into cities where there were industrial jobs is now endangering human life on earth by ignoring or despoiling the natural environment. Neglect of the environment is not new; however, the early humans saw themselves as insignificant inhabitants of a natural world to which they were related and on which they were dependent. Even though some of their actions damaged the environment, they acted out of ignorance. The complex technology that produces myriad articles for easing human life today has inspired in contemporary humans the notion that they are in control of the world and perhaps of the universe. Thus, the humble attitudes of our primitive ancestors, who tried to appease the spirits of plants and animals they thought responsible for their existence and welfare have been replaced by confidence that nothing is impossible to humans. This arrogant attitude is a threat to the ecosystem.

生态系统是生物之间以及与环境之间相互作用和联系的方式。这种相互作用维持着一种平衡，使生命得以延续。人类、土地、动物、植被、大气和社会过程相互依存，即使其中一个环节发生轻微变化，也会影响其他环节。绿色植物的光合作用（即吸收二氧化碳并释放氧气）使人类得以生存，并为工业系统的各种机械设备提供所需的氧气。如果没有动植物及其生存的微生物，湖泊和河流中就不会有纯净的水。如果没有地球内部发生的某些过程，就不会有粮食作物、石油或煤炭。简而言之，生态系统是人类的生物资本：人类的生产力依赖于它，而最先进的技术如果被破坏，就毫无用处了。您可以通过浏览互联网了解更多关于我们地球生态系统的信息，例如：www.globalchange,umich.edu/globalchange1/current/lectures/kling/ecosystem/ecosystem.html。

The ecosystem is the way living things interact and interrelate among each other and their environment. The interaction maintains a balance that permits life to continue. People, land, animals, vegetation, atmosphere, and social processes are so interdependent that even slight alterations in one affect the others. The photosynthetic activity of green plants (that is, the fact that they take in carbon dioxide and give off oxygen) allows human life and produces the oxygen needed for the machinery of the industrial system. Without plants and animals and the microorganisms that live in them, there would be no pure water in lakes and rivers. Without certain processes that take place within the earth, there would be no food crops, oil, or coal. The ecosystem is, in short, the biological capital of humans: human productivity depends on it, and the most advanced technology will be useless if it is destroyed. Learn more about the ecosystems of our world by browsing the Internet, for instance: www.globalchange,umich.edu/globalchange1/current/lectures/kling/ecosystem/ecosystem.html.

生态系统是由生物、自然及其栖息的地球组成的微妙平衡、相互依存的系统，近年来，随着越来越多的人开始关注环境问题，生态系统也成为人们关注的焦点。生态学是研究自然界相互关系的学科，在帮助人们了解自身生存环境变化方面一直处于领先地位。

The ecosystem, that delicately balanced, interdependent system consisting of living beings, nature, and the earth they inhabit, has been the focus of attention in recent years as more people have begun to show concern about the environment. The discipline of ecology, which studies the interrelationships in nature, has been in the forefront in the effort to make people aware of what is happening to where they live.

从生态学角度来看，生态系统分为不同层次。特定的沼泽或河流是局部生态系统；海洋是区域生态系统；地球则是全球生态系统。生态系统很容易变得不稳定：不可预见的事件常常会破坏其平衡。洪水和干旱会改变土壤，渐进的气候变化、人口爆炸以及特定物种的消失也会改变土壤。然而，任何生态系统都倾向于恢复平衡。每个生命物种在物理环境中都有其生态位，这在某种程度上类似于每个个体在社会环境中占据的地位。人类在不同生态系统中所占据的生态位与其他物种不同，因为人类可以影响和改变其环境，而不是等待通过进化来适应环境。由于人类已经发展了文化和社会结构，他们可以以各种方式对物理环境采取行动：他们可以种植或砍伐树木，清理或污染河流，修建道路和房屋，或者不去打扰土地。其他物种必须等待自然的安排，因为它们的行为受到限制。因此，人类不仅比其他生物物种拥有巨大的优势，也有责任组织起来，与环境保持和谐。但在这方面，人类并没有取得太大的成功。

In ecological terms, there are various levels of ecosystems. A particular swamp or river is a local ecosystem; an ocean is a regional ecosystem; the planet earth is a global ecosystem. An ecosystem is easily made unstable: unforeseen events often disturb its balance. Floods and droughts change the soil, as do gradual climatic changes, population explosions, and the disappearance of particular species. However, the tendency of any ecosystem is to return to a balance. Each species of life has its niche in the physical environment, somewhat in the same way that each individual occupies a status in the social environment. The niche occupied by humans in the various ecosystems is different from that of other species because humans can affect and alter their environment, rather than waiting to adapt to it through evolution. Because humans have developed culture and social structure, they can act in a variety of ways toward the physical environment: they can cultivate trees or cut them down, clean rivers or pollute them, build roads and houses or leave the land alone. Other species must wait for nature to take its course, for they are limited in their behavior. Thus, humans have not only a great advantage over other living species but also a responsibility to organize themselves to remain in harmony with their environment. In this they have not been very successful.

在此需要指出的是，平衡的概念并非普遍接受。随着越来越多的证据表明自然界中真正恒定的事物是永恒的动荡，一些生态学家正在修正长期以来的平衡理论：“变化和动荡，而非恒定和平衡，才是常态”（Stevens，1990，B5-B6）。尽管这种思维转变尚未催生出一个取代旧理论的新理论，但自然界更多地受变化和扰动支配的理念正在逐渐成为主流思想。那些尚未完全准备好放弃生态系统平衡概念的科学家一致认为，尽管小型生态系统中的小群体可能存在巨大的扰动和波动，但如果从更宏观的角度考虑，这些波动可能并不那么重要。因此，他们引入了时间和空间尺度的重要性。然而，共识似乎更倾向于一种持续变化和干扰的生态学，尤其是在研究了自然发生的外部因素（例如气候和天气）如何扰乱生态系统之后。

We should note here that the idea of equilibrium is not universally accepted. A number of ecologists are revising the long-held balance theory following an accumulation of evidence to the effect that the real constant in nature is eternal turmoil: “Change and turmoil, more than constancy and balance, is the rule” (Stevens, 1990, B5–B6). Although the change in thinking has not yet produced a current new theory to replace the old one, the developing conviction that nature is ruled more by flux and disturbance is becoming the dominant idea. Those scientists who are not quite ready to abandon the notion of equilibrium in ecosystems agree that although there may be great disturbances and fluctuations in small populations within small ecosystems, these fluctuations may not appear as important if the larger picture is considered. Thus, they bring in the importance of scales of time and space. However, the consensus seems to favor an ecology of constant change and disruption, particularly following studies of naturally occurring external factors—such as climate and weather—that dislocate ecosystems.

生态系统破坏

Disruption of Ecosystems

人口过剩、环境污染和环境耗竭破坏了全球生态系统的和谐。人口过剩给生态系统带来了压力，因为资源必须与越来越多的人共享。环境耗竭是指自然资源随着需求的增加而减少（例如能源）。环境污染是指空气、土地和水的退化，以及环境的物理方面（例如眼睛和噪音污染）。2010年春天，墨西哥湾以及路易斯安那州、密西西比州、阿拉巴马州和佛罗里达州的海滨社区的生态系统遭受了极其严重的破坏。英国石油公司在墨西哥湾的一个石油钻井平台发生爆炸，泄漏了数百万桶石油。对这个生态系统、动植物以及依赖它生活的工人造成的损害，在未来数年内都无法弥补。这起环境污染事件是人类行为的结果，即人类对环境的干预，并造成了有害后果。污染物有时是人类活动中不可预见且不必要的副产品，或人类制造、使用和丢弃的产品的残留物。核心在于，作为一个社会，我们想要消费更多，这意味着我们必须生产更多，最终意味着我们制造更多垃圾。

The harmony of the global ecosystem is disturbed by overpopulation, environmental pollution, and environmental depletion. Overpopulation puts stress on the ecosystem because resources must be shared with more and more people. Environmental depletion is the term used to mean that natural resources are decreasing in proportion to increased demand for them (as in the case of energy). Environmental pollution refers to the degradation of air, land, and water, as well as the physical aspects of the environment (eye and noise pollution). A terribly damaging event to the ecosystem of the Gulf of Mexico and the beach communities of Louisiana, Mississippi, Alabama, and Florida occurred in the spring of 2010. An oil rig belonging to the British Petroleum Corporation drilling in the Gulf exploded, spilling millions of barrels of oil. The damage done to this ecosystem, to its flora and fauna, to the workers whose life depended on it, will not be overcome for years. This example of environmental pollution was the result of human actions, that is, human tampering with the environment that has harmful consequences. Pollutants are sometimes unforeseen and unwanted by-products of human activities or the residue of products made by humans, used, and thrown away. The central point is that as a society, we want to consume more, which means we must produce more, and which ultimately means we create more waste.

污染可能来自空气、水或土地，也可能影响我们的感官，例如视觉和听觉。每年，美国燃烧化石燃料（石油、天然气、煤炭）向空气中排放约1.4亿公吨污染物。过去一个世纪，化石燃料（石油和煤炭）燃烧产生的二氧化碳排放量急剧增长。这些排放是气候变化的因素，特别是导致气温升高，而气温升高被认为会导致极端天气模式，进而导致传染病的传播。不幸的是，美国是世界上二氧化碳排放总量最大的国家，尽管中国可能很快就会超过我们（联合国，2012年世界人口数据表，www.un.org/ en/un60/60ways/envir.shtml）。汽车是最严重的污染源，约占空气污染的80%。污染造成的最严重影响包括酸雨（由燃煤电厂排放的二氧化硫引起）以及臭氧（一种通常存在于高层大气中、吸收太阳紫外线的氧气形式）的消耗。酸雨会导致湖中的鱼类死亡、农作物减产并损坏建筑物。臭氧的减少会损害人类的眼睛、喉咙和肺部。臭氧层减少可能导致地球气候发生巨大变化，一些动植物遭到破坏，皮肤癌发病率上升，甚至可能对动植物（包括人类）造成遗传损害。

Pollution may be of the air, water, or land and may also involve our senses, such as seeing and hearing. Every year, about 140 million metric tons of pollutants are released into the air by the United States as by-products of burning fossil fuels (oil, natural gas, coal). Carbon dioxide emissions resulting from the burning of fossil fuels (oil and coal) have grown dramatically in the past century. These emissions are contributing factors to climate change, specifically to rising temperatures that are thought to result in extreme weather patterns and in turn to the spread of infectious diseases. Unfortunately, the United States is the largest contributor to total carbon dioxide emissions in the world, though China may soon surpass us (United Nations, 2012 World Population Data Sheet, www.un.org/en/un60/60ways/envir.shtml). The automobile is the heaviest polluter, accounting for about 80 percent of air pollution. Among the worst effects of pollution are acid rain, caused by sulfur dioxide emissions from coal-burning plants, and depletion of ozone, a form of oxygen normally found in the upper atmosphere, where it absorbs the ultraviolet radiation of the sun. Acid rain kills fish in lakes, reduces crop yields, and damages buildings. The decrease of ozone does harm to human eyes, throats, and lungs. A reduced ozone layer may result in a vastly changed climate on earth, the destruction of some animal and plant life, a greater incidence of skin cancers, and possibly damage of a genetic nature to both plants and animals, including humans.

除了石油泄漏之外，其他类型的水污染还包括有机污水、过量营养物质对水体的过度施肥、水传播的细菌或病毒以及对水生生物有毒的有机化学物质，如杀虫剂、农药和洗涤剂。各种化学物质都会改变水体的生态系统，导致鱼类死亡，并使水体产生异味。游轮、油轮和货船也会向海洋排放大量废物。

In addition to oil spills, other kinds of water pollution are due to organic sewage, overfertilization of water by excess nutrients, water-borne bacteria or viruses, and organic chemicals such as insecticides, pesticides, and detergents that are toxic to aquatic life. Chemicals of all sorts can change the ecosystem of a body of water, killing fish and creating unpleasant tastes in the water supply. Cruise ships, tankers, and cargo carriers also discharge tons of waste into the oceans.

图片 11.4虽然这是一座可以回收的废金属山，但我们的垃圾填埋场也堆满了类似的垃圾山，这是我们炫耀性消费的结果。

IMAGE 11.4 Although this is a mountain of scrap metal, which can be recycled, our landfills are full of similar mountains of garbage, which are a consequence of our conspicuous consumption.

iStock：© narvikk

iStock: © narvikk

地球上许多地方的土壤正受到杀虫剂、除草剂、化学废物、放射性尘降物和垃圾的污染。其中一些污染物对人类有害，但为了控制某些害虫，必须增加这些污染物的用量，因为这些害虫对化学物质产生了抗药性；化学物质的残留物往往会在土壤中停留很长时间——有时甚至在化学物质被禁用数年后仍会残留。请参阅：www.epa.gov/airtrends/aqtrends.html。

The earth’s soil is being polluted in a number of locations by pesticides, herbicides, chemical wastes, radioactive fallout, and garbage. Some of these pollutants are also harmful to humans, yet increasing amounts of them must be used to control certain pests, as these become resistant to the chemicals; residues of the chemicals tend to remain in the soil for a long time—sometimes years after the chemicals have been banned. See: www.epa.gov/airtrends/aqtrends.html.

环境耗竭。空气、水和土地可以被净化，但某种资源一旦耗尽，就永远消失了。因此，必须找到替代资源。世界上没有哪个国家能够完全自给自足。美国每年都需要大量进口云母、铝土矿、锡和铁矿石。直到最近，最令人担忧的资源仍然是石油，因为自本世纪初以来，我们的能源消耗一直在快速增长。美国的能源消耗量超过其他国家，美国人在汽车上的支出也超过了食物上的支出。然而，截至2014年，美国从国外进口的石油仅占其消耗量的27%。另见：www.eia.gov/tools/faqsfaq.cfm ?id=32&t=6 。

Environmental Depletion. The air, water, and land can be cleaned up, but once a resource is depleted, it is gone forever. Then an alternative source must be found. No nation in the world is completely self-sufficient in terms of its natural resources. The United States has to import large amounts of mica, bauxite, tin, and iron ore that are used annually in this country. Until recently, the resource of most concern was petroleum because our consumption of energy has been rising rapidly since the turn of the century. The United States uses more energy than other countries and Americans spend more on automobiles than on food. However, as of 2014, the United States imported only 27 percent of the oil consumed from foreign countries. See also: www.eia.gov/tools/faqsfaq.cfm?id=32&t=6.

电力需求也持续增长，在20世纪40年代至70年代期间增长了两倍。一些专家认为核能是我们未来的唯一希望，但另一些人则指出，核能存在严重的局限性。它们的安全性令人怀疑，并且存在潜在的危险。

Demand for electrical power has also constantly increased, tripling between the 1940s and the 1970s. Some experts maintain that nuclear sources are our only hope for the future, but others point out that these sources have severe limitations. Their safety is dubious, and they pose potential hazards.

温室效应。最后，所谓的温室效应正在引发人们的担忧。温室效应本质上是指燃烧煤炭、木材和石油导致地球大气升温，产生二氧化碳、氮氧化物、氯氟烃和甲烷（www.epa.gov/airquality/emissns.html）。这些气体在生物圈中积聚，形成一道隔热屏障，将本应返回太空的地球热量阻隔在外层。因此，地球变得更热，因为隔热屏障就像温室里的玻璃板一样，将热量困在里面。这种变暖趋势的影响可能是灾难性的，但如果各国政府认真立法改变资源消耗和保护方式，减少燃料燃烧，并寻找替代能源，仍然有可能抵消这些破坏性影响。

The Greenhouse Effect. Finally, the so-called greenhouse effect is causing concern. Essentially, the greenhouse effect refers to the heating of the earth’s atmosphere by burning coal, wood, and oil, which produces carbon dioxide, nitrous oxides, chlorofluorocarbons, and methane (www.epa.gov/airquality/emissns.html). These gases accumulate in the biosphere and act as an insulating barrier, retaining heat from the earth that should be returning to space. Thus, the earth becomes hotter because the insulating barrier traps heat in the same way that glass panels in a greenhouse do. The effects of such a warming trend could be catastrophic, but it is still possible to counteract these damaging effects if governments become serious about legislating changes in consumption and conservation of resources, reducing the combustion of fuels, and finding alternative sources of power.

尽管“全球变暖”的讨论已持续数十年，但直到2007年初，科学家才向世人详细展现了人类活动导致的气候变化的影响。大气中不断累积的温室气体已经造成了从极地到热带地区的变化，从极地冰盖融化到温带地区沙漠化。科学家预测，地球的气候和生态系统将面临不可避免的深刻变化：南欧和中东、撒哈拉以南非洲以及美国西南部和墨西哥的干旱将日益加剧。另一方面，洪水将危及南亚的低洼岛屿和河流三角洲。事实上，仅仅气温上升3到5华氏度（约1.5到2.5摄氏度）就可能导致数亿人居住的沿海地区和岛屿被淹没。这些气候变化的最严重影响是，最贫穷的国家将首当其冲。一些地区将迎来更多降雨和更长的生长季，但那些已经饱受恶劣天气、资源匮乏和沿海灾害困扰的地区将受到极其不利的影响。这些国家，甚至富裕国家的贫困人口，最缺乏适应气候变化的能力（参见联合国政府间气候变化专门委员会）。

Although talk of “global warming” had been heard for decades, it was not until early 2007 that scientists presented the world with a detailed portrait of the effects of climate change driven by human activity. The greenhouse gases that have been building up in the atmosphere have already produced changes from the poles to the tropics, from the melting of the polar ice caps to the desertification of former temperate climates. Scientists are predicting that the earth’s climate and ecosystems face inevitable and profound changes: increasing droughts in southern Europe and the Middle East, in sub-Saharan Africa, and in the American Southwest and Mexico. On the other hand, flooding will endanger low-lying islands and river deltas of southern Asia. In fact, a rise of only three to five degrees Fahrenheit could lead to the inundation of coasts and islands inhabited by hundreds of millions of people. The worst effect of these climate changes is that the poorest countries would bear the brunt of them. Some regions would receive more rainfall and a longer growing season, but regions that are already suffering from inclement weather, a scarcity of resources, and coastal hazards would be affected very negatively. Such nations, and even the poor in wealthier nations, are least equipped to adjust to climate change (see the United Nations’ Intergovernmental Panel on Climate Change).

末日预言者从来都不太受欢迎，过去人类似乎总能通过新食物和能源的出现来逃避自身的毁灭。总而言之，人类面临着身心健康的威胁，生态失衡以及随之而来的动植物物种的灭绝，并且由于发达国家和发展中国家之间生活水平的不平衡，世界和平也面临威胁。然而，环境问题对于政治领导人和广大公众来说并非优先考虑的问题。然而，由于环境问题的复杂性，任何解决这些问题的方法都必须有政府的行动。在人们学会比现在更加珍惜环境之前，很可能必须改变一些文化价值观。

Doomsayers have never been very popular, and in the past humanity seems to have always found escape from its own destruction in the emergence of new sources of food and energy. To summarize, the human species is faced with a threat to its physical and mental well-being, with an ecological imbalance and the consequent disappearance of entire species of animals and plants, and with a hazard to world peace because of the imbalance in the standard of living between the developed and the developing nations. Environmental problems, however, have a low priority for political leaders and the public in general. Yet, because of the complexities involved, any solution to these problems must involve governmental action. It is probable that some cultural values must be changed before people learn to appreciate their environment to a greater extent than is true at present.

人口密度差异巨大，三分之二的人口集中在日本南部、中国东部平原和丘陵、印度沿海和恒河流域、欧洲和美国的工业区。出生率和死亡率是根据每年每千人中出生和死亡的人数计算的。高出生率是工业化和城市化程度较低的国家的特征。这一事实催生了人口转变模型，该模型认为社会会经历人口增长的三个基本阶段。在第三阶段人口趋于稳定，出生率下降。降低人口出生率是一个文化问题，而非技术问题。

Population density varies dramatically, with two-thirds of humanity concentrated in the area that runs through the southern half of Japan, the plains and hills of eastern China, the coasts and Ganges River plain of India, and the industrial districts of Europe as well as those of the United States. Birthrates and death rates are calculated on the basis of how many births and deaths occur in a given year per 1,000 people. High birthrates are characteristic of the less industrialized and less urbanized nations. This fact has engendered the demographic transition model, which holds that societies pass through three basic stages of population growth. Stabilization occurs in the third stage, in which birthrates decline. Lowering a population’s birthrate is a cultural, and not a technical, matter.

美国在1972年实现了人口零增长，但出生率随时可能再次上升。然而，城市工业国家会控制并稳定其人口数量，因为在这样的社会中，维持大家庭非常困难。托马斯·罗伯特·马尔萨斯早在200年前就预测了人口的快速增长，或者说人口爆炸。他警告说，人口过剩将成为人类的威胁，因为人口以几何级数增长，而粮食产量以算术级数增长，速度要慢得多。马尔萨斯的预言与发达国家关系不大，但它可能适用于人口增长确实带来严重问题的发展中国家。

The United States reached zero population growth in 1972, but the birthrate could go up again at any time. However, urban industrial nations curb and stabilize their populations because it is so difficult to have large families in such societies. The rapid growth of population, or population explosion, was predicted 200 years ago by Thomas Robert Malthus, who warned that overpopulation would become a threat to humanity because populations grow by geometric progression while food production increases arithmetically, at a much slower rate. The Malthusian prophecy has little relevance for the developed nations, but it may be applied to the developing nations, where population increase does pose serious problems.

农业机械化和工厂制度导致许多人从农村迁往城市，因为那里有工作机会。人们从农村迁往城市的现象被称为城市化。当然，城市的出现早于工业的兴起，但即使是古代的城市也往往沿河而建，因为那里土壤肥沃，交通便利，从而促进了贸易和商业的发展。然而，工业时代的城市化有所不同，它是一种普遍趋势，永久地将整个社会打上城市化的烙印。城市生活催生了一种生活方式和传统，并通过大众媒体传播，逐渐成为民族文化的主导。次要的关系、正式组织以及经济、政府和教育机构得到了加强，而主要的关系以及家庭和宗教机构则被削弱。

The mechanization of agriculture and the factory system have led many people to move from the land to the city, where the jobs are. The movement of people from rural areas to cities is called urbanization. Of course, cities predate the rise of industry, but even the cities of antiquity tended to rise around rivers where the soil was fertile and where transportation was possible, leading to trade and commerce. Urbanization in the industrial era is different, however, in that it is a universal trend that is forever stamping entire societies as urban in nature. Life in cities has given rise to a lifestyle and tradition that, spread through the mass media, are becoming dominant in the national culture. Secondary relationships, formal organizations, and the institutions of the economy, government, and education have been strengthened, at the expense of primary relationships and the institutions of the family and religion.

在美国，城市化的进一步发展是郊区化趋势。随着人们开始逃避城市问题，以及汽车和消费文化的普及，郊区逐渐发展起来，但如今郊区与城市相似。然而，由于缺乏足够的税基，无法为剩余的居民提供服务，城市也受到了这一趋势的影响。大都市化，即城市和郊区规模扩大，并在某些地区彼此连接，绵延不绝，是当前面临的另一个问题。大型都市区，也称为特大城市，面临着独特的问题，例如需要扩大政府机构。尽管诸如城市规划之类的项目尽管城市更新和高档化试图改善内城区的困境，但这些地区仍然存在问题，主要是因为它们仍然是那些无力提供必要服务的人的家园。

In the United States, a further development in urbanization has been the trend toward suburbanization. Suburbs grew when people began to escape urban problems and as a result of the popularity of the automobile and the consumer culture, but today suburbs resemble cities. However, cities have suffered from the movement because they lack a sufficient tax base and cannot provide services to the remaining residents. Metropolitanization, or cities and suburbs that have grown large and in certain locations follow each other without interruption for great distances, is another current problem. Large metropolitan areas, also called megalopolises, have unique problems, such as the need for an expanded governmental bureaucracy. Although such programs as urban renewal and gentrification have attempted to remedy the plight of the inner cities, these areas are still plagued with problems, basically because they remain the home of those who cannot afford to support necessary services.

人口过剩，加上城市化和工业化的生活方式，引发了一系列威胁环境的问题。首先，自然资源有限，无法支撑人口的急剧增长。其次，我们对环境的漠视，正因环境污染的方式而威胁着环境的毁灭。尤其是温室气体在大气中的积累，这是工业排放的副作用，它正在造成全球变暖，危及地球。我们已经目睹了这些影响，从极地冰盖融化到沙漠的形成，从极端干旱到灾难性的洪水，从猛烈的飓风到生态系统的消失。此外，最易受这些现象威胁的人，恰恰是最不可能阻止或适应这些现象的人：他们是世界上的穷人。人类只是全球生态系统中的一个元素；然而，他们却如此傲慢，以至于认为自己是万物的中心。在扭转空气、土地和水的污染以及自然资源的浪费之前，可能需要改变文化价值观和政府行动。

Overpopulation, together with urban and industrial lifestyles, has engendered problems that threaten the environment. First, natural resources are finite and cannot support the dramatic increases in population. Second, our careless disregard for the environment threatens to destroy it because of the way it is being polluted. In particular, it is the accumulation of greenhouse gases in the atmosphere, a side effect of emissions from industrial processes that are endangering the planet by creating global warming. We are already seeing these effects, from the melting of the polar ice caps to the creation of deserts, from extreme droughts to tragic floods, from severe hurricanes to disappearing ecosystems. Moreover, the people who are most at risk from these phenomena are the ones least likely to be able to prevent them or adjust to them: they are the poor of the world. Humans are only one element in the global ecosystem; however, their arrogance is such that they believe themselves to be at the center of creation. A change in cultural values and government action will probably be necessary before the pollution of the air, land, and water, as well as the wasting of natural resources, will be reversed.

生物圈 包围地球的一层薄薄的空气、水和土壤。

biosphere A thin film of air, water, and soil surrounding the earth.

出生队列 在特定时间段出生的所有人。

birth cohort All the people born in a specific time period.

出生率 特定人口中每 1,000 人每年的出生人数。

birthrate The number of births per 1,000 persons in a specific population per year.

死亡率 特定人群中每年每千人死亡的人数。同死亡率。

death rate The number of deaths per 1,000 persons in a specific population per year. Same as mortality rate.

人口统计学 研究人口的增长或下降、其在世界各地的分布以及其构成。

demography The study of the growth or decline of populations, their distribution throughout the world, and their composition.

生态学 研究生物体与其环境之间的关系。

ecology The study of the relationship between living organisms and their environments.

生态系统 由生物和非生物实体组成的封闭系统，以及它们相互作用和维持平衡以允许生命延续的方式。

ecosystem A contained system of living and nonliving entities, and the manner in which they interact and maintain a balance that permits life to continue.

生育力 产生后代的生物学潜力。

fecundity The biological potential for producing offspring.

生育率年龄 在15岁至44岁之间或育龄妇女每1,000名妇女的平均生育数量。

fertility rate The average number of births per 1,000 women between the ages of 15 and 44, or during women’s reproductive years.

婴儿死亡率 反映每 1,000 名活产婴儿中一岁以下死亡人数的比率。

infant mortality The rate that reflects the number of deaths among infants under one year of age for every 1,000 live births.

预期寿命 特定年龄段的人预期可以存活的平均年数。

life expectancy The average number of years that a person at a given age can expect to live.

特大城市群 指一个大都市区域紧邻另一个大都市区域且不间断的综合体。也称为城市蔓延。

megalopolis A complex in which one metropolitan area follows another without interruption. Also called urban sprawl.

大都市化 郊区、小城市和周边农村地区聚集在中心城市周围并被视为一个单一单位的趋势。

metropolitanization The tendency of suburbs, small cities, and surrounding rural areas to cluster around a central city and be considered as a single unit.

死亡率 每年人口中的死亡人数。

mortality rate The number of deaths in a population per year.

污染空气、土地和水以及环境美学方面的恶化。

pollution The degradation of air, land, and water as well as the esthetic aspects of the environment.

人口密度 人口与土地面积的比例。

population density The ratio of people to a land area.

人口金字塔特定 人口年龄和性别分布的图形表达。

population pyramid A graphic expression of the age and sex distribution of a given population.

拉动因素 吸引人们移居到新地区的因素。

pull factors Factors that attract people to immigrate to a new area.

推动因素 促使人们从一个地区移居到另一个地区的因素。

push factors Factors that impel people to emigrate from one area to another.

性别比 某一年份人口中男性数量与女性数量之比。

sex ratio Ratio of the number of males in a population in any single year per 100 females.

标准大都市统计区 (SMSA) 美国人口普查局使用的术语，指由一个或多个县（含一个人口5万或以上的城市）组成的人口单位。人口超过100万的大都市地区被称为合并大都市统计区 (CMSA)。

Standard Metropolitan Statistical Area (SMSA) Term used by the U.S. Bureau of the Census to designate units of population consisting of a county or counties that include a city of 50,000 or more people. Metropolitan areas containing 1 million or more people are called Consolidated Metropolitan Statistical Areas (CMSAs).

郊区位于中心城市郊区的较小社区，在一定程度上依赖于中心城市。

suburbs Smaller communities on the outskirts of central cities and somewhat dependent on them.

城市化 一种不同于乡村的条件、一套态度、一种品质或一种生活方式。

urbanism A condition, a set of attitudes, a quality, or a way of life distinct from the rural.

城市化 城市以牺牲农村地区为代价而发展的人口趋势。

urbanization A population trend in which cities grow at the expense of rural areas.

零人口增长 每个人只替代自己（替代水平为 2.1）的状态；因此，出生率和死亡率相同。

zero population growth A condition in which each person replaces himself or herself only (replacement level of 2.1); thus, the birthrate and the death rate are the same.

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DeWitt, Karen. 1994. “Wave of Suburban Growth Is Being Fed by Minorities.” The New York Times, August 15, pp. 1, 12.

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Linden, Eugene. 1992. “Too Many People.” Time, Fall (Special Issue), p. 64.

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Minerbrook, Scott. 1992. “A Tale of Two Suburbias.” U.S. News & World Report, November 9, pp. 32, 40.

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Whyte, William H. 1989. Cities. New York: Doubleday.

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Dunham-Jones, Ellen, and June Williamson. 2008. Retrofitting Suburbia: Urban Design Solutions for Redesigning Suburbs. New York: Wiley. A series of case studies showing how suburbs have been made more livable.

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Suzuki, David. 2007. The Sacred Balance: Rediscovering Our Place in Nature. Vancouver, BC: Greystone Books. A well-written account of the effects of humans on our planet and what the future holds in view of the radical changes that are occurring.

联合国人居署。2009。《规划可持续城市：全球人类住区报告：2009》。纽约：联合国人居署核心团队。面向新世纪的城市规划体系。

UN-Habitat. 2009. Planning Sustainable Cities: Global Report on Human Settlements: 2009. New York: UN-Habitat Core Team. Urban planning systems for a new century.

Pivotal Institutions: Marriage and the Family

关键制度：婚姻与家庭

在本章中，你将学习

IN THIS CHAPTER, YOU WILL LEARN

• 关于机构发挥的重要文化功能；

• about the important cultural functions that institutions perform;

家庭作为基本机构的重要性；

• of the importance of the family as the primary institution;

• 关于家庭制度的组成部分及其历史形式；

• about the components of the family institution and its historical forms;

• 美国家庭形式的变化；

• of the changes in the form of the American family;

• 有关离婚的问题方面；以及

• about the problematic aspects of divorce; and

• 美国家庭变化的影响。

• of the effects of the changes in the American family.

T 媒体不断提醒我们，我们的制度正在辜负我们。报纸、新闻杂志和电视节目大肆宣扬诸如“家庭正在分崩离析”、“美国教育一团糟”、“人们对政府缺乏信心”、“宗教的重要性下降”、“经济导致收入差距扩大”等等令人悲伤的事实。制度究竟是什么？为什么我们会认为它们辜负了我们？

T he media constantly remind us that our institutions are failing us. Newspapers, news magazines, and television programs trumpet such sad truths as “The Family Is Falling Apart,” “American Education Is a Shambles,” “People Have Little Faith in Government,” “Religion Has Declined in Significance,” “The Economy Has Produced an Increasing Income Gap,” and so on. What exactly are institutions, and why do we perceive them as failing us?

我们多次强调，社会生活方式（人类赖以生存的唯一方式）最重要的产物是文化（参见第三章）。文化被称为维系社会纽带的粘合剂。它使人成为人，并使他们区别于其他生物。特别是，文化的规范（“生活规则”）组成部分对于人类生活至关重要，因为它提供了生活的设计。文化可以被视为人类有史以来第一个“如何做”的指南，而且它仍然是畅销书。规范体系中最重要的部分是制度，先前将其描述为根深蒂固的行为模式，代表着对人类普遍需求的社会解决方案。（回顾第三章中的关键制度。）

We have stressed a number of times that the most important product of the social way of life—which is the only way in which humans can sustain life—is culture (see Chapter 3). Culture has been called the cement that holds the social bond together. It is the thing that makes people human and distinguishes them from other living creatures. In particular, the normative (“rules for living”) component of culture is central to human life because it provides a design for living. Culture may be considered the first “how to do it” guide people ever had, and it is a best-1seller still. The most vital parts of the normative system are institutions, which were described previously as ingrained patterns of behavior representing societal solutions to universal human needs. (Review pivotal institutions in Chapter 3.)

基本制度：家庭

The Basic Institution: The Family

家庭是最基本、最古老的社会单位，在古今所有社会中都能找到它的踪迹。尽管在科技发达的社会中，围绕家庭引发了诸多争议，但它依然蓬勃发展。人们普遍认为，家庭开启了制度构建的循环。在人类历史的进程中，在所有已知的社会中，家庭为个人提供了身份认同、社会地位以及物质和精神上的支持。其他一些关键的以及不太重要的制度逐渐兴起，取代了家庭的部分功能，但家庭仍然是人类生活中一股无处不在的力量，是最相关的基本群体，也是社会化进程中最重要的元素。

The family is the most basic and oldest social unit, and traces of it can be found in all societies, past and present. Despite the many controversies that have flared around it in technologically advanced societies, it is still going strong. It is generally believed that the family began the cycle of institution building. In the course of human history, in all known societies, it has been the family that provided the individual with an identity, with a social status, and with physical as well as moral support. Other pivotal institutions, as well as less important ones, have gradually emerged, usurping some of its functions, yet the family has remained a pervasive force in human lives, the most relevant of primary groups, and the most important element in the socialization process.

为了证明核心家庭制度的普遍性，人类学家乔治·默多克（1949/1965）研究了250个社会，发现所有社会都存在核心家庭。默多克推测，家庭之所以普遍，是因为它具有功能性，也就是说，它履行着人生的四大基本功能：性、经济、生殖和教育。这些功能对社会至关重要。

To attest to the universality of the institution, anthropologist George Murdock (1949/1965) studied 250 societies and found evidence of a nuclear family in all of them. Murdock speculated that the family is universal because it is functional, that is, because it performs the four functions fundamental to life: sexual, economic, reproductive, and educational. These functions are vital to society.

家庭形式

Family Forms

虽然家庭制度普遍存在，但其形式因社会而异。然而，所有家庭都具有以下共同特征：它们是源于婚姻或至少源于伴侣关系的社会群体；它们由丈夫、妻子及其结合所生的子女组成（尽管在某些家庭形式中也包括其他亲属，在同性恋结合中，伴侣为同一性别）；它们以法律、经济和宗教纽带以及义务和特权将成员联系在一起；它们构成了性特权与性禁忌的网络，以及不同程度的爱、尊重和感情（Lévi-Strauss，1971，56）。正如我们稍后将看到的，当代家庭可能展现出略有不同的特征。

Although the institution of the family is universal, its forms vary from society to society. All families, however, share the following features: they are social groups that originate in marriage, or at least in a partnership; they consist of husband, wife, and children born of their union (although in some family forms other relatives are included, and in homosexual unions the partners are of the same sex); they bind members with legal, economic, and religious bonds as well as duties and privileges; and they provide a network of sexual privileges and prohibitions, and varying degrees of love, respect, and affection (Lévi-Strauss, 1971, 56). As we will see later, contemporary families may exhibit slightly different features.

从历史上看，家庭主要有两种形式。一种是大家庭，或称血亲家庭（血亲的意思是“同血缘”）。大家庭不仅包括丈夫、妻子及其子女，还包括许多血亲（以及他们的配偶和子女），他们共同生活，构成一个家庭单位。大家庭形式在传统的农业社会中很常见，因为在这些社会中，合作有利于改善生计。从心理上讲，大家庭也有益处：养育孩子是共同的责任，孩子可以与许多人建立亲密的关系。父母因此不再是社会化的唯一提供者。因此，在大家庭中，身体上的忽视或虐待（虐待儿童）几乎闻所未闻。另一方面，个人必须抑制个人目标和愿望，因为家庭单位的福祉优先于个人的福祉。最后，大家庭拥有明确界定的权威等级，个人必须服从于该等级。

Historically, the family has existed in two chief forms. One is the extended, or consanguine, family (consanguine means “of the same blood”). The extended family includes not only husband, wife, and their offspring but also a number of blood relatives (with their mates and children), who live together and are considered a family unit. The extended form is typical of traditional, agricultural societies, for in these societies it is advantageous to cooperate to secure a better livelihood. Psychologically, too, an extended family provides benefits: child rearing is a communal responsibility, and the child forms affectionate relationships with many persons. Parents are thus relieved of being the sole providers of socialization. Consequently, physical neglect or mistreatment (child abuse) is almost unheard of in extended families. On the other hand, the individual must stifle personal goals and desires because the welfare of the family unit has priority over the welfare of the individual. Finally, extended families have a well-defined hierarchy of authority to which the individual is subservient.

另一种家庭形式是核心家庭，也称为婚姻家庭（婚姻的意思是“结合”或“联合”，即“已婚”）。核心家庭包括父亲、母亲和他们的孩子组成的核心（中心）。对孩子来说，他们出生的家庭是血亲家庭，因为他们与父母有血缘关系；这也是他们的定向家庭，因为他们在家庭中获得社会化——他们以社会生活为导向。对父母来说，他们的家庭是生育家庭，因为他们的关系依赖于生育子女。

The other family form is the nuclear, also called the conjugal, form (conjugal means “joined” or “united” in the sense of “married”). A nuclear family includes the nucleus (center) of father, mother, and their children. To the children, the family into which they are born is consanguine because they are related to their parents by blood ties; it is also their family of orientation because they obtain their socialization within it—they are oriented toward life in society. To the parents, theirs is a family of procreation because their relationship depends on having produced children.

核心家庭是城市工业社会的典型特征，这类社会存在显著的地域和社会流动性。在存在这种流动性的地方，人们会被吸引到城市中心，在那里他们可以找到更好的工作。在那里，他们组建新的家庭。以大家庭为单位，抛弃了原生家庭。此外，在工业社会中，许多原本由主要群体承担的职能已转移到次要群体。保护、教育、医疗保健、借贷、护理等等，都被独立的机构接管。因此，在农业社会中几乎完全自给自足的大家庭单位，在城市工业社会中已不再必要；相反，在住房稀缺、教育昂贵的城市，大家庭单位反而适得其反。最后，在工业社会中，获得的地位比先天的地位更重要。因此，一个人通过自身努力所取得的成就比家庭的社会地位更重要（Goode，1963）。这使得人们更容易抛弃大家庭。简而言之，核心家庭的生活方式与工业社会的价值观及其更开放的分层体系相兼容。因此，核心家庭已成为世界上所谓发达国家的常态，并且在许多发展中社会中也日益盛行。

The nuclear family is typical of urban industrial societies in which there is significant geographic and social mobility. Where such mobility exists, individuals are attracted to urban centers, where they can find better jobs. There, they form new family units, leaving behind their families of origin. In industrial societies, moreover, many functions originally performed by primary groups have been transferred to secondary ones. Protection, education, health care, money lending, nursing, and so on, have been taken over by separate institutions. Thus, the large extended family unit, which is almost totally self-sufficient in agrarian societies, is no longer necessary in urban, industrial societies; on the contrary, it is counterproductive in a city, where housing is scarce and education expensive. Finally, in an industrial society, achieved status is more important than ascribed status. Therefore, what a person does through his or her own effort is more important than the family’s social position (Goode, 1963). This makes it even easier to leave the extended family behind. In short, the lifestyle of the nuclear family is compatible with the values of industrial societies and their more open stratification systems. As a result, the nuclear family has become the norm in the so-called developed nations of the world and is increasingly prevalent in many of the developing societies as well.

亲属关系系统

Kinship Systems

一些通过共同血统、婚姻或收养而有血缘关系的人构成了亲属关系体系。亲属关系体系因社会而异：婚姻伴侣的数量、谁可以与谁结婚、新婚夫妇居住地以及权威模式，在不同文化中都存在巨大差异。

A number of people who are related by common descent, by marriage, or through adoption form a kinship system. Kinship systems vary from society to society: the number of marriage partners, who may marry whom, where newlyweds live, and authority patterns all vary tremendously across cultures.

家庭活动

Family Functions

如前所述，家庭的许多先前功能已被更新的制度所取代。然而，无论家庭以何种形式出现，包括传统家庭的最新“替代品”，它仍然履行着这些重要功能：它规范性行为，控制生育，是社会化的主要媒介，并提供关爱和陪伴。

As noted earlier, many of the former functions of the family have been taken over by newer institutions. Still, in whatever form it appears, including the newest “alternatives” to the traditional family, the family continues to fulfill these important functions: it regulates sex, it controls reproduction, it is the principal agent of socialization, and it provides affection and companionship.

性规范。已知社会中，没有一个社会会任由性规范随意进行。也就是说，所有社会都试图引导性欲，使性关系发生在拥有合法性关系的人之间——这些人已婚或以其他方式合法地结成伴侣关系。

Regulation of Sex. No known society leaves the regulation of sex to chance. That is, all societies attempt to channel the sex drive so that sexual relations take place between persons who have legitimate access to each other—who are married or otherwise legally united in a paired bond.

大多数社会鼓励婚姻，并赋予已婚人士较高的地位。他们也区分婚姻（经社会及其法律体系认可的结合）和未经社会及其法律体系认可的、双方自愿缔结的结合。大多数社会不鼓励单身状态。

Most societies encourage marriage and give high status to married people. They also make a distinction between marriage—a union sanctioned by the society and its legal system—and unions entered into by consenting partners without such sanction. Most societies discourage the single state.

繁衍。自人类群体生活开始以来，确保繁衍后代，使新一代不断成长，一直是家庭的基本功能之一。在许多社会中，一个人只有在生育孩子或成为父亲后才被视为成年人。有些社会并不歧视非婚生子女，反而会为子女融入家庭结构提供便利。然而，任何社会都不允许非婚生子女。

Reproduction. Ensuring that reproduction takes place so that there is always a new generation growing up has been one of the fundamental functions of the family since the beginning of human group life. In many societies, an individual is not considered an adult until he fathers a child or she gives birth to one. Some societies attach no stigma to children born out of wedlock; rather, provisions are made for the children’s incorporation into the family structure. However, reproduction outside the family has not been sanctioned in any society.

在美国，家庭制度的社会变革导致单亲妈妈的数量增加。一些未婚职业女性即使未婚也会刻意选择生孩子，但大多数单亲妈妈都是计划外生育。

In the United States, social change in the family institution has had the effect of increasing the number of single mothers. Some unmarried working women make a deliberate choice to have a child, even though they remain unmarried, but most single mothers are women whose children are unplanned.

社会化。正如第五章所讨论的，大多数社会依靠家庭来对年轻人进行社会化。一些社会试图将这一职能转移到其他机构，其结果好坏参半。尽管社会化功能基本仍保留在家庭内部，但学校和同龄群体也承担了很大一部分。然而，家庭在确立个人身份认同、帮助其做好融入更广阔社会的准备方面仍然发挥着主导作用。

Socialization. As discussed in Chapter 5, most societies depend on the family to socialize their young. Societies that have attempted to transfer this function to other agencies have had mixed results at best. Although the function of socialization has remained basically within the family, schools and the peer group have taken over a large portion of the process. The family, however, retains the function of agent in establishing an individual’s identity and readying him or her to exist in the wider society.

情感与陪伴。人类对情感和陪伴的需求似乎是人类的根本需求。大量研究表明，个体在成长过程中缺乏情感可能会导致反社会人格，甚至出现身体问题。那些在身体上得到完美照顾却得不到情感陪伴的儿童常常会生病甚至死亡（Spitz，1964/1945，53-57，是该主题的经典研究；此后，许多其他研究也重复了这些发现）。虽然家庭以外的群体也能提供陪伴，但情感更可能只存在于家庭内部，而且，在核心家庭中，这种现象也越来越普遍（见表12.1）。

Affection and Companionship. The human need for affection and companionship appears to be fundamental. Numerous studies have indicated that lack of affection in an individual’s developmental years may lead to an antisocial personality and even physical problems. Children who receive faultless physical care but no affection often become ill or even die (Spitz, 1964/1945, 53–57, is the classic study on the subject; many others have since replicated these findings). Although groups other than the family may provide companionship, affection is more likely to be found only within the family and, increasingly, within the nuclear family (see Table 12.1).

婚姻

Marriage

几乎所有亲属制度的基础都是婚姻，这是一个法律概念，它定义了一男一女或其各种组合的结合，以生育后代为期望，共同生活并发生性关系（如今，这一定义需要修改，因为男女结婚的目的不一定包括生育子女，而且同性伴侣也可以结婚）。这种关系由传统和法律定义和认可。需要强调的是，婚姻是法律制度的发明；也就是说，婚姻的出现是因为人们认为男人和女人之间应该就他们相互的权利和义务签订具有约束力的合同。而家庭则是源于人们需求的社会发明。

At the basis of almost every kinship system is marriage, a legal concept defining the union of a man and a woman, or various combinations thereof, living together in a sexual relationship with the expectation of producing offspring (today this definition needs to be amended, as men and women do not necessarily include having children as one of the purposes of marriage and as same-sex partners enter into marriage). This relationship is defined and sanctioned by tradition and law. It should be stressed that marriage is an invention of the legal system; that is, it came into being because people thought there should be a binding contract between a man and a woman regarding their mutual privileges and obligations. The family, on the other hand, is a social invention that emerged from people’s needs.

婚姻关系的定义涵盖了性方面的行为准则、对子女和姻亲的义务、家庭内部的劳动分工以及婚姻生活中的其他义务和权利。婚姻制度的起源始终笼罩在神秘之中。在西方社会，婚姻受到犹太教和基督教等宗教思想的影响，但也保留了希腊和罗马世俗哲学的许多方面。在所有这些文化中，合法婚姻都被视为一种帮助社会规范性行为、鼓励生育、培养责任感，以及提供父母关爱、互助和关爱的方式。如今，现代社会面临着一场新的争议——是否将合法婚姻扩展到同性伴侣。当然，大多数宗教都禁止同性恋行为，理由是同性恋妨碍生育；然而，自古以来，同性恋就一直是人类社会的一部分（参见第九章）。随着人权理念的演变，越来越多的人认为同性伴侣应该拥有结婚的权利。合法婚姻将使这些伴侣在保险、遗产继承和收养子女等方面享有与异性已婚夫妇同等的经济权利。然而，对这种婚姻形式的禁忌仍然根深蒂固，各国政府、城市和州政府直到现在才开始着手处理这个问题。一些反对此类婚姻的原教旨主义基督教徒试图修改宪法以禁止此类结合，但迄今为止尚未成功。最高法院已宣布同性婚姻在美国所有50个州均合法，各州不得禁止此类婚姻。

The definition of the marriage relationship includes guidelines for behavior in matters of sex, obligations to offspring and in-laws, division of labor within the household, and other duties and privileges of marital life. The origin of the institution is shrouded in mystery. In Western societies, marriage has been influenced by the religious ideas of Judaism and Christianity, but it has also retained many of the facets of the secular philosophies of Greece and Rome. In all these cultures, legal marriage was seen as a way to help societies regulate sexual activity, encourage procreation, and develop accountability, as well as provide for parental care, mutual help, and affection. Today, modern societies are faced with a new controversy—whether to extend legal marriage to same-sex couples. Most religions, of course, prohibit homosexual acts on the basis that they preclude procreation; nonetheless, homosexuality has been a part of the human condition as far back as history allows us to see (see Chapter 9). As the ideals of human rights have evolved, so too has the idea among a growing segment of the population that same-sex couples should have the ability to marry. Legal marriage would enable such couples to enjoy the same financial privileges of heterosexual married couples in matters of insurance, inheritance, and adoption of children. However, the taboo against such a form of marriage is still very strong, and governments, cities, and states have only now begun to deal with this issue. A number of fundamentalist Christians who are opposed to such marriages have tried to amend the Constitution to forbid such unions, so far without success. The Supreme Court has declared that same-sex marriage is legal in all 50 states and that states cannot ban such marriages.

虽然每个社会都鼓励婚姻，反对不受约束的性行为，但不同社会的婚姻形式各不相同。婚姻形式大致可分为一夫一妻制和一夫多妻制。一夫一妻制是指一名男子与一名女子的结合。一夫多妻制是指多元婚姻，多元婚姻又可细分为一妻多夫制，即一名女子与多名男子的结合；一夫多妻制，即一名男子与多名女子的结合；以及群婚，即多名男子与多名女子共同生活。

Although every society encourages marriage, as opposed to unregulated sex, the forms marriage takes vary in different societies. The two broad subdivisions in forms of marriage are monogamy and polygamy. Monogamy describes the union of one man with one woman. Polygamy is the term for plural marriage, which can in turn be subdivided into polyandry, or the union of one woman with several men; polygyny, or the union of one man with several women; and group marriage, involving several men living with several women.

表 12.1 2010 年至今 18 岁及以上成年人的居住安排（除百分比外，单位为千）

TABLE 12.1 Living Arrangement of Adults 18 and over, 2010 to Present (numbers in thousands, except for percentages)

注：有关 ASEC 的更多信息，包括来源和准确性声明，请参阅技术文档：www.census.gov/cps/methodology/techdocs.html

Note: For more information about ASEC, including the source and accuracy statement, see the technical documentation: www.census.gov/cps/methodology/techdocs.html

¹仅包括已婚且配偶在家的成年人。此居住安排优先于表中所示的其他居住安排。例如，与父母和配偶同住的人计为与配偶同住，而非户主的子女。

¹Includes only adults who are married, spouse present in the household. This living arrangement supercedes the others shown in the table. For example people living with their parents and a spouse are counted as living with a spouse, not as a child of the householder.

²户主的子女不与配偶或未婚伴侣同住，而是与父母同住。在CPS，住在宿舍的未婚大学生也算作与父母同住。

²Children of the householder are not living with a spouse or unmarried partner, and are residing in the household of a parent. In CPS unmarried college students living in dormitories are counted as living in the parental home.

³从 1967 年到 1995 年，对未婚伴侣的估计使用了一种间接衡量标准，即 POSSLQ（同住一个房间的异性伴侣），因为受访者无法报告未婚伴侣。POSSLQ 仅包括只有两个成年人（一男一女）的家庭，他们彼此没有血缘关系，没有配偶，并且年满 18 岁。家中可能有或可能没有孩子。从 1996 年到 2006 年，“未婚伴侣”是与户主关系问题的一个答案类别，因此估计值仅限于伴侣一方是户主的成年人。自 2007 年起，当调查中增加了一个直接询问未婚伴侣是否存在的问题时，所有同居伴侣都包括在内，无论他们是否是户主。

³From 1967 to 1995 estimates of unmarried couples use an indirect measure, POSSLQ (partners of the opposite sex sharing living quarters), because respondents could not report unmarried partners. POSSLQ includes only households that have just two adults, one man and one woman, who are unrelated to each other, have no spouse present and are at least 18 years old. Children may or may not be present in the household. From 1996 to 2006 ‘unmarried partner’ was an answer category on the relationship to householder question, so estimates are restricted to adults where one of the partners is the householder. Since 2007, when a direct question asking about the presence of unmarried partners was added to the survey, all cohabiting partners are included regardless of whether they are the householder.

资料来源：改编自美国人口普查局《当前人口调查》《年度社会和经济补充报告》（1967 年至今）

Source: Adapted from U.S. Census Bureau, Current Population Survey, Annual Social and Economic Supplement, 1967 to present

图 12.1在每个社会中，婚姻都会举行仪式来庆祝，以强调家庭制度的重要性，因为家庭是家庭的基础。图中显示的是印度的一场婚礼。

IMAGE 12.1 In every society marriage is celebrated with a ceremony to stress the importance of the institution that is the foundation of the family. Here, a marriage ceremony in India.

iStock：© Nikhil Gangavane

iStock: © Nikhil Gangavane

在世界各地，一夫一妻制是最常见的婚姻形式，这可能是因为成年后可供交配的男性和女性数量大致相等。一夫多妻制是一夫多妻制中最常见的形式。它曾被广泛实行，尤其是在穆斯林社会以及某些亚文化群体（例如美国的摩门教徒）中。如今，这种习俗已较为有限，这既是因为西方价值观的传播，也是因为维持多个妻子及其所生子女的成本高昂。一妻多夫制是一种不常见的婚姻形式，主要在生存条件艰苦且半游牧的地区实行，这些地区需要不止一个丈夫来养活妻子及其子女。群婚虽然存在，但在任何已知的社会中从未被持续或广泛地实行过。

Around the world, monogamy is the most common form of marriage, probably because an approximately equal number of males and females reach maturity and are available for mating. Polygyny is the most common form of polygamy. It was once widely practiced, particularly in Muslim societies, as well as in certain subcultural groups (the Mormons in the United States, for instance). Today, the custom is more limited, both because of the diffusion of Western values and because it is expensive to maintain a number of wives and all the children they produce. Polyandry is an uncommon form of marriage, practiced chiefly in areas in which physical existence is difficult and seminomadic, so that more than one husband is required to support a wife and her children. Though it exists, group marriage has never been practiced consistently or extensively in any known society.

婚姻的限制

Limitations on Marriage

每个社会都会通过规定成员可婚和不可婚来规范他们的择偶行为。例如，所有社会都要求婚姻发生在特定群体之外，无论是家庭、氏族、部落还是村庄（外婚）。外婚的一个普遍例子是乱伦禁忌，即禁止母子、父女、姐妹兄弟、祖父母和孙子女等之间的性关系。尽管在某些社会中，这种禁忌因王朝原因而被打破，而且如今被打破的家庭数量也比人们普遍认为的要多，但它在所有已知的社会中都存在。人类学家认为，乱伦禁忌的起源是因为乱伦对社会没有功能。它往往会破坏家庭结构，而与外部人士通婚家庭在家庭成员之间建立起相互依赖的纽带，从而建立起一个具有凝聚力的社会，并确保新家庭的诞生（Lévi-Strauss，1971，55）。传统社会也要求其成员与其他特定群体通婚，例如，与自身种族、宗教和社会阶层通婚（族内通婚）。然而，在工业社会和后工业社会中，这一要求正逐渐被忽视。

Every society regulates its members’ choice of mates by specifying whom they may marry and whom they may not marry. All societies, for instance, require that marriage occur outside a particular group, whether it be family, clan, tribe, or village (exogamy). A universal example of exogamy is the incest taboo, or prohibition of sexual relations between mother and son, father and daughter, sister and brother, grandparents and grandchildren, and so on. This taboo, although it has been broken for dynastic reasons in some societies and is broken today in more families than is generally thought, has existed in every known society. Anthropologists think that the incest taboo originated because incest is not functional for society. It tends to damage family structure, whereas marrying outside the family builds bonds of dependence among families, establishing a cohesive society and ensuring the creation of new families (Lévi-Strauss, 1971, 55). Traditional societies also required that their members marry within other specified groups—for instance, within a person’s own race, religion, and social class (endogamy). However, in industrial and postindustrial societies, this requirement is being gradually disregarded.

美国的爱情与婚姻

Love and Marriage in America

在我们的社会中，浪漫的爱情和婚姻被理想化地呈现。我们视“坠入爱河”为人生巅峰，并期望结婚后“从此过上幸福的生活”——如今，结婚人数众多，结婚频率也越来越高，尽管不如过去那么频繁。皮尤研究中心的报告显示，2014年只有50.3%的美国人结婚，而1960年这一比例为72%。（关于美国婚姻状况的详细分析，请访问：www.pewsocialtrends.org/2014/09/24/chapter-1-public-views-on-marriage/。）到2016年，每千人结婚人数将只有6.7人，而1984年为16.4人。相比之下，1920年，这一比例曾高达92.3人。少数族裔、受教育程度较低的人群和年轻人的结婚率下降最为显著。根据盖洛普2013年的一项民意调查，非白人未婚率高达61%，其中12%的人根本不想结婚。结婚年龄也大幅提高：女性平均结婚年龄为27岁，男性为29岁。自20世纪90年代中期以来，白人和非裔美国人的结婚趋势趋于稳定，但从未结过婚的西班牙裔美国人的比例却有所上升。已婚夫妇首次成为家庭中的少数群体。

Our society is one in which romantic love and marriage are presented in idealistic terms. We view “falling in love” as a high point in our lives, and we expect to “live happily ever after” when we marry—and we marry in large numbers, and often, though not as often as we used to. The Pew Research Center reports that only 50.3 percent of Americans were married in 2014, compared to 72 percent in 1960. (A thorough look at marriage in the United States may be found at: www.pewsocialtrends.org/2014/09/24/chapter-1-public-views-on-marriage/.) By 2016, there will be only 6.7 weddings per 1,000 people, compared to 16.4 in 1984. This, in comparison to 1920, when the rate was 92.3. The decline has been most dramatic for minorities, the less educated, and the young. The percentage of nonwhites who are unmarried, according to a Gallup poll in 2013, is 61 percent, of which 12 percent do not want to get married at all. And the age of marriage has increased dramatically: women marry at an average age of 27 and men at 29. Since the mid-1990s, trends in marriage have stabilized for both whites and African Americans, but the percentage of Hispanics who have never married has increased. Married couples represent a minority of households, for the first time.

这种变化的原因有哪些？首先，耻辱感的消失和离婚率的下降（稍后会讨论）。此外，女性大批进入职场，因此在婚姻制度中对男性的依赖程度有所降低。她们结婚也更晚，许多人在结婚前，甚至结婚前会与未婚伴侣同居一段时间。离婚女性通常不会再婚，享受新获得的自由，而男性则更早地再婚。最后，女性的寿命比男性长，因此寡妇的数量庞大。年轻女性似乎明白，她们将在人生中更长的时间里保持单身，因此正在为此做准备。一些学者认为，这种趋势代表着一个转折点，从此一去不复返：美国人将在婚姻之外度过人生的一半时间（Roberts，2007）。另一些人指出，已婚夫妇的总数仍然很高，最终许多美国人会结婚。然而，如此多的成年人一生中的大部分时间都是单身或与伴侣一起度过但未婚，这一事实具有许多社会和经济影响：它影响劳动力，改变制造商的广告方式和对象，并影响住房销售和租赁程序。

What are some of the reasons for this change? First of all, the loss of stigma and the frequency of divorce, discussed later. In addition, women have entered the workforce in droves and so are less dependent on men in the institution of marriage. They also marry later, and many live with unmarried partners for a while before, or even instead of, marrying. Divorced women often do not remarry, relishing their newfound freedom, whereas men remarry more quickly. Finally, women live longer than men, and so there is a large contingent of widows. Younger women seem to understand that they will spend longer parts of their lives unmarried and so are preparing for this eventuality. Some scholars maintain that the trend represents a tipping point from which there is no going back: Americans will spend half of their lives outside marriage (Roberts, 2007). Others point out that the total number of married couples is still high and that eventually many Americans marry. However, the fact that so many adults spend much of their lives single or with partners but unmarried has a number of social and economic implications: it affects the workforce, it changes how and to whom manufacturers advertise, and it influences sales of housing and rental procedures.

浪漫爱情作为婚姻的先决条件是现代的产物。在前工业社会，婚姻是家庭之间的经济安排。伴侣之间的爱情与婚姻无关，尽管人们期望伴侣最终会彼此相爱。随着现代化进程，尤其是男女青年都能找到有收入的工作，人们拥有了自主选择婚姻的能力。当然，如果一个人可以自主选择伴侣，他会选择一个有魅力、有魅力、相处融洽、彼此感到自在、并且拥有许多共同兴趣的人——至少在一开始是这样。因此，浪漫被引入作为求爱的序言和婚姻的灵感。然而，在过去的几十年里，“求爱”这个词本身已经消失了。如今的年轻人热衷于所谓的“勾搭”，这通常指的是基于性的短暂关系。

Romantic love as a prerequisite for marriage is a modern invention. In preindustrial societies, marriage was an economic arrangement between families. Love between the partners had nothing to do with it, although the partners were expected to eventually come to love one another. With modernization, particularly the fact that young adults of both sexes could find wage-paying work, came the ability to make one’s own marital choices. And, of course, if one can choose one’s own mate, one chooses a person who is appealing, attractive, and with whom one feels at ease and shares a number of interests—at least, at first. Hence the introduction of romance as a preamble to courting and inspiration for marriage. However, in the past several decades, the very word courting has disappeared. Young people today engage in what is called “hooking up,” which often means transient relationships based on sex.

尽管美国社会存在自由选择，但这种选择远比表面上看起来的更具社会决定性。不仅存在着族内婚和族外婚——配偶的选择是在某些群体内部或群体外部进行的——而且绝大多数人也倾向于与与自己非常相似的伴侣结婚。这种倾向同性婚姻被称为同性婚姻，而与之相反，与具有不同特征的人结婚则被称为异性婚姻。同性婚姻在年龄、距离、社会特征、个体特征，甚至吸引力等方面都存在。

Even though there is free choice in American society, that choice is much more socially determined than is at first obvious. Not only are endogamy and exogamy at work—spouses are chosen within certain groups and outside other groups—but also people overwhelmingly marry mates who are very much like themselves. This tendency is called homogamy, whereas its opposite, marrying a person with different traits, is referred to as heterogamy. Homogamy persists in such features as age, proximity, social characteristics, individual characteristics, and even degree of attractiveness.

婚姻的阶段：满意与不满意

The Stages of Marriage: Satisfaction and Dissatisfaction

由于美国人崇尚浪漫爱情，大多数夫妇步入婚姻殿堂时，对婚姻生活抱有诸多浪漫而理想化的憧憬。然而，日常生活总有办法打破这些幻想。婚姻初期往往被认为是最艰难的时期，因为这段时间需要做出最多的调整。与此同时，当被问及婚姻质量或对婚姻生活的满意度时，大多数夫妇都承认，婚姻质量在最初几年是最高的。

Because of the American preoccupation with romantic love, most couples enter marriage with a number of highly romantic and idealistic notions of what married life will be like. Everyday life, however, has a way of destroying such illusions. The early years of marriage are often reported to be the most difficult because they require the most amount of adjustments to be made. At the same time, when questioned about the marital quality, or satisfaction with married life, most couples admit that at no time is it higher than in the first few years of marriage.

这种看似矛盾的现象或许源于夫妻步入婚姻时所秉持的婚姻脚本（marital scripts）的差异。婚姻脚本（Broderick, 1993）指的是夫妻之间应如何行为的期望。然而，由于人们在不同的家庭环境中接受社会化，这些脚本往往存在差异。即使是一些无关紧要的小事，如果开诚布公地讨论就能轻松解决，也可能引发误解和争吵，而如果得不到解决，则可能导致关系破裂。无论如何，43% 的初婚在 15 年内以分居或离婚告终。三分之一的初婚在 10 年内结束，五分之一的初婚在 5 年内结束。

This seeming contradiction may be attributed to the differences in marital scripts with which couples enter marriage. Marital scripts (Broderick, 1993) are the expectations of how husbands and wives ought to behave. Unfortunately, because people are socialized in different families, these scripts are often mismatched. Even unimportant matters that could easily be solved if they were brought out in the open may cause misunderstanding and arguments and, if left unsolved, may lead to a breakup of the relationship. At any rate, 43 percent of first marriages end in separation or divorce within 15 years. One in three first marriages ends within ten years, and one in five ends within five years.

婚姻中另一个关键时刻是夫妻成为父母。婴儿出生后的头几个月会给母亲带来巨大的压力，因为需要投入大量的时间和精力。这使得夫妻双方很少有时间一起进行各种活动，包括性生活，而这些活动曾经是他们维系感情的纽带。在孩子很小的时候，以及婚后不久就生育的夫妻会感到不满；许多研究一致表明，孩子会让婚姻关系变得不那么令人满意。事实上，孩子和金钱是大多数夫妻最常争吵的话题。

Another critical time in a marriage occurs when a couple become parents. A baby puts a lot of strain, particularly on its mother, in the first months of its life in terms of the sheer amount of time and work it demands. This leaves the couple very little time to spend together in activities, including sex, which bound them together previously. Couples who have children at a very young age and a short time after marriage experience feelings of dissatisfaction; a number of studies have consistently shown that children make the marital relationship less satisfying. In fact, children and money are what most couples argue about most commonly.

当孩子到了上学年龄，婚姻满意度会进一步下降。婚姻满意度似乎与父母与子女的关系存在直接关联：与子女相处较少困难的父母，比与长子相处困难的父母对婚姻的满意度更高 (Steinberg & Silverberg, 1987)。

Marital satisfaction declines even further when children reach school age. There seems to be a direct correlation between marital satisfaction and parental relationships with children: parents who have few difficulties with their children report more satisfaction with their marriage than parents who are experiencing difficulties with their eldest children (Steinberg & Silverberg, 1987).

老年夫妇的婚姻质量略高于中年夫妇。这或许反映了最糟糕的婚姻在此时已经破裂，或者子女离家后，婚姻关系中的问题有所改善。一些研究似乎表明，生育和养育子女带来的压力会持续对婚姻质量产生负面影响，甚至持续到晚年。其他一些跟踪长期婚姻的研究表明，在这样的婚姻中，婚姻问题趋于减少，而爱情和感情则会增多（Weishaus & Field，1988）。

Marital quality is somewhat higher among older married couples than among those in their middle years. This may be a reflection of the fact that the worst marriages have already broken up by this time, or that problems in a marital relationship improve after the children leave home. Some studies seem to point to the fact that the strains associated with having and raising children continue to have negative effects on the quality of marriage, even into the later years. Other studies that followed couples who had remained married for a long time showed that marital problems have a tendency to decrease in such marriages, while love and affection increase (Weishaus & Field, 1988).

美国疾病控制与预防中心（CDC）国家卫生统计中心发布的一份报告重点关注了长期婚姻、离婚和分居的相关因素，该报告发现，在以下情况下，婚姻往往能够维持更长时间：如果女性年龄适中；如果女性童年时期在完整的双亲家庭中长大；如果宗教信仰很重要；如果她来自高收入家庭，或居住在家庭收入中位数较高、男性失业率低且贫困率低的社区。然而，皮尤研究中心后来的一项分析并未发现离婚统计数据与收入、教育等社会经济指标之间存在很强的相关性，宗教信仰与婚姻和离婚模式之间也没有很强的关联。然而，初婚年龄较早与离婚之间存在很强的相关性，尤其对女性而言。

A report prepared by the Centers for Disease Control’s (CDC) National Center for Health Statistics focusing on conditions associated with long-term marriages, divorce, and separation found that marriages tend to last longer under certain conditions: if a woman is not too young; if a woman was raised throughout childhood in an intact two-parent family; if religion was important; and if she came from a family with a high income, or lived in a community with a high median family income, low male unemployment, and low poverty. However, a later Pew Research Center analysis did not find a strong correlation between divorce statistics and such socioeconomic indicators as income and education, nor was there a strong association between religiosity and patterns of marriage and divorce. There was, however, a strong correlation between young age at first marriage and divorce, especially for women.

表 12.2a 美国 2000–2012 年临时结婚数量和结婚率

TABLE 12.2a Provisional Number of Marriages and Marriage Rate: United States, 2000–2012

年

Year

婚姻

Marriages

人口

Population

每千人总人口比率

Rate per 1,000 Total Population

2012

2,131,000

313,914,040

6.8

2011

2,118,000

311,591,917

6.8

2010

2,096,000

308,745,538

6.8

2009

2,080,000

306,771,529

6.8

2008

2,157,000

304,093,966

7.1

2007

2,197,000

301,231,207

7.3

2006

2,193,000

294,077,247

7.5

2005

2,249,000

295,516,599

7.6

2004

2,279,000

292,805,298

7.8

2003

2,245,000

290,107,933

7.7

2002

2,290,000

287,625,193

8.0

2001

2,326,000

284,968,955

8.2

2000

2,315,000

281,421,906

8.2

¹不包括路易斯安那州的数据。

¹Excludes data for Louisiana.

注：2001-2009年的税率已修订，基于2000年和2010年人口普查的两次普查之间的人口估计值。2010年的税率基于2010年人口普查数据。

Note: Rates for 2001–2009 have been revised and are based on intercensal population estimates from the 2000 and 2010 censuses. Populations for 2010 rates are based on the 2010 census.

来源：CDC/NCHS 国家生命统计系统。

Source: CDC/NCHS National Vital Statistics System.

表 12.2b 美国离婚和废除婚姻的临时数量和比率，2000–2011 年

TABLE 12.2b Provisional Number of Divorces and Annulments and Rate: United States, 2000–2011

年

Year

离婚与废除婚姻

Divorces & Annulments

人口

Population

每千人总人口比率

Rate per 1,000 Total Population

2012 ¹

2012¹

851,000

248,041,986

3.4

2011 ¹

2011¹

877,000

246,273,366

3.6

2010 ¹

2010¹

872,000

244,122,529

3.6

2009 ¹

2009¹

84万

840,000

242,610,561

3.5

2008 ¹

2008¹

844,000

240,545,163

3.5

2007年^1月

2007¹

856,000

238,352,850

3.6

2006年^1月

2006¹

872,000

236,094,277

3.7

2005年^1月

2005¹

847,000

233,495,163

3.6

2004年^2月

2004²

879,000

236,402,656

3.7

2003年^3月

2003³

927,000

243,902,090

3.8

2002年^4月

2002⁴

955,000

243,108,303

3.9

2001年^5月

2001⁵

94万

940,000

236,416,762

4.0

2000 ⁵

2000⁵

944,000

233,550,143

4.0

¹不包括加利福尼亚州、佐治亚州、夏威夷州、印第安纳州、路易斯安那州和明尼苏达州的数据。

¹Excludes data for California, Georgia, Hawaii, Indiana, Louisiana, and Minnesota.

²不包括加利福尼亚州、佐治亚州、夏威夷州、印第安纳州和路易斯安那州的数据。

²Excludes data for California, Georgia, Hawaii, Indiana, and Louisiana.

³不包括加利福尼亚州、夏威夷州、印第安纳州和俄克拉荷马州的数据。

³Excludes data for California, Hawaii, Indiana, and Oklahoma.

⁴不包括加利福尼亚州、印第安纳州和俄克拉荷马州的数据。

⁴Excludes data for California, Indiana, and Oklahoma.

⁵不包括加利福尼亚州、印第安纳州、路易斯安那州和俄克拉荷马州的数据。

⁵Excludes data for California, Indiana, Louisiana, and Oklahoma.

注：2001-2009年的税率已修订，基于2000年和2010年人口普查的两次普查之间的人口估计值。2010年的税率基于2010年人口普查数据。

Note: Rates for 2001–2009 have been revised and are based on intercensal population estimates from the 2000 and 2010 censuses. Populations for 2010 rates are based on the 2010 census.

来源：CDC/NCHS 国家生命统计系统。

Source: CDC/NCHS National Vital Statistics System.

权力在婚姻中的作用

The Role of Power in Marriage

传统女性角色将她们置于男性之下，尤其是在婚姻关系中。在当今的婚姻中，双方普遍秉持平等主义，认为每个伴侣都拥有同等的权力，可以为婚姻单位做出决策。然而，在现实生活中，平等主义难以实现，客观地研究婚姻关系时，似乎总有一方拥有更大的权力。根据资源理论，权力的分配取决于夫妻双方为婚姻带来的资源（Blood & Wolfe，1960）。这些资源可能是经济资源，例如收入能力、教育背景和职业声望；也可能是非经济资源，例如陪伴、情感支持和社交技能（Safilios-Rothschild，1967）。当然，在我们这样一个经济成功至关重要的社会中，由于收入能力而占据较高地位的一方，在婚姻中通常也拥有更高的地位。因此，尽管女性劳动力数量不断增加，但由于她们的收入通常低于男性，她们在婚姻中的权力也往往较小（Szinovacz，1987）。她们权力较小不仅意味着她们无法做出最重要的决定，还意味着她们承担了大部分琐碎但必要的家务。然而，随着女性劳动力数量的增加，以及她们的收入与丈夫持平或超过丈夫，妻子可能会获得更大的权力，或者权力冲突可能会更加频繁（请在互联网上查找婚姻中权力的主题；例如：www.huffingtonpost.com/2013/07/10/relationship-problems-couples-arguing_n_3574849.html；以及www.sheknows.com/love-and-sex/articles/6853/sharing-power-in-marriage）。

The traditional role of women placed them in a subordinate position to men, especially in the marriage relationship. In today’s marriages, the individuals involved generally subscribe to an egalitarian view, with each partner holding an equal amount of power to make decisions for the marital unit. In reality, however, egalitarianism is difficult to attain, and when marital relationships are studied objectively, it appears that either one or the other partner wields greater power. According to the resource theory, the distribution of power depends on the resources each spouse brings to the marriage (Blood & Wolfe, 1960). These resources may be of an economic nature, such as the ability to earn income, education, and occupational prestige, or of a noneconomic nature, such as companionship, emotional support, and social skills (Safilios-Rothschild, 1967). Of course, in a society such as ours, in which economic success is of great importance, the spouse who occupies the higher status because of earning ability occupies the higher status in the marriage in general. Thus, despite the increasing numbers of women who are in the labor force, because they generally earn less than men, they also tend to have less power in the marriage (Szinovacz, 1987). Their lesser power not only means they do not make the most important decisions, but also that they do most of the menial but necessary work around the house. As the number of women in the workforce increases, however, and as their income equals or supersedes that of their husbands, more power may accrue to the wife—or conflict about power may become more frequent (look up the subject of power in marriage on the Internet; examples: www.huffingtonpost.com/2013/07/10/relationship-problems-couples-arguing_n_3574849.html; and www.sheknows.com/love-and-sex/articles/6853/sharing-power-in-marriage).

改变婚姻模式

Changing Marital Patterns

现代化及其在工业社会带来的普遍富裕极大地改变了家庭生活的结构和内容。本世纪，尤其是在过去的几十年里，也发生了几乎同样剧烈的变化。由于节育方法的改进、性规范的自由化以及女性进入劳动力市场，出生率大幅下降（参见第十一章），自愿不生育的现象增多，而在整个二十世纪后半叶飙升的离婚率也开始趋于稳定。

Modernization and the general affluence it brought in industrial societies greatly changed the structure and substance of family life. An almost equally dramatic change has occurred in this century, particularly in the past few decades. Because of improved birth control methods, liberalized sex norms, and the entrance of women into the workforce, the birthrate has greatly declined (see Chapter 11), voluntary childlessness has increased, and the divorce rate, which skyrocketed all through the last half of the twentieth century, is beginning to stabilize.

婚姻模式的另一个变化是，结婚者和不结婚者之间存在“婚姻差距”，而这种差距存在于富裕阶层和贫困阶层之间。据统计，受过大学教育的女性结婚率更高，离婚率也更低。男性也存在这种差距，尽管程度较轻。这种差距是社会阶层的差距，因为过去许多女性“高嫁”——即嫁给社会阶层中地位更高的男性——而如今的普遍常态是受过教育的女性嫁给受过教育的男性，双方都拥有很高的收入能力。这样的夫妻可以避免许多威胁到来自社会底层人士婚姻的经济问题。由于制造业大量工作岗位流失，工薪阶层男性维持家庭的难度加大，因此结婚意愿降低。

Another change in marriage patterns is that there is a “marriage gap” between those who marry and those who do not, and that gap is between the well-off and the less well-off. According to statistics, more college-educated women marry and are less likely to divorce. The gap holds true for men as well, although to a lesser extent. The gap is one of social class because whereas in the past many women “married up”—that is, they married a man higher up in the stratification hierarchy—today the prevailing norm is that an educated woman marries an educated man, both having high earning power. Such a couple forgoes many of the problems of a financial nature that threaten marriages of persons from lower social classes. As many jobs in manufacturing have been lost, working-class males have had a more difficult time maintaining a family and so are less eager to marry.

事实上，皮尤研究中心发布的调查显示，如今女性在教育和收入方面均超过男性，这一事实对婚姻产生了巨大影响。在一篇题为《婚姻新经济学：妻子的崛起》（Fry and Cohn，2010）的文章中，作者指出，截至2007年，与20世纪70年代相比，与教育和收入高于男性的女性结婚的男性比例更高。同样，与教育和收入低于男性的丈夫结婚的女性比例也更高。这些事实导致了婚姻收益的角色逆转：过去，女性的地位因婚姻而提高——因为她们倾向于嫁给高收入者；而如今，男性的地位却在提高。有所提高。事实上，2007年，22%的女性受教育程度高于其丈夫（19%；Fry & Cohn，2010）。此外，尽管男性总体上仍然收入高于女性，但在22%的案例中，妻子是家庭的主要经济支柱，这一比例远高于1970年的7%。

As a matter of fact, the Pew Research Center has published surveys showing that today women outpace men in education and income, and this fact has impacted dramatically on marriage. In an article aptly titled “New Economics of Marriage: The Rise of Wives,” (Fry and Cohn, 2010) the authors state that as of 2007 a larger percentage of men as compared to the 1970s are married to women whose education and income is higher than theirs. Similarly, a larger percentage of women are married to husbands whose education and income are lesser than theirs. These facts have contributed to a role reversal in the gains from marriage: whereas before the status of women was enhanced by marriage—because they tended to marry up—today it is the status of men that is enhanced. In 2007, in fact, 22 percent of women had more education than their husbands (19 percent; Fry & Cohn, 2010). Moreover, although men overall still earn more than women, in 22 percent of the cases wives are the primary breadwinners, a percentage quite a bit higher than the 7 percent in 1970.

罗伯特·贝拉在其著作《心灵的习惯》中从更哲学的层面指出，美国人对个人主义的追求和对自我的关注与需要承诺的关系（如婚姻和建立家庭）是不相容的。他指出，大多数美国人认为，人生的意义在于成为独立的个体，实现自我价值，找到自我。这一过程需要摆脱家庭、社区和传统的束缚（Bellah et al., 1985, 82）。如果将爱情和婚姻视为心理满足的源泉，并根据它们是否让个人感觉良好来判断，那么就可以得出结论，丈夫和妻子，尤其是父母角色所固有的期望和义务是对立的。也就是说，我们对爱情和婚姻的观念与家庭的旧社会功能相冲突，而家庭曾是连接整个社会的纽带。这些角色意味着无私和对他人的关心，与对自我和自我实现的关注相冲突。结论是

On a more philosophical level, Robert Bellah, in Habits of the Heart, argues that Americans’ pursuit of individualism and their preoccupation with the self are incompatible with relationships that demand commitment, such as marriage and the establishment of a family. Most Americans, he points out, believe that the meaning of one’s life is to become one’s own person, achieve self-fulfillment, and find oneself. Such a process involves breaking free from family, community, and tradition (Bellah et al., 1985, 82). If love and marriage are viewed as sources of psychological gratification, judged according to whether they make the individual feel good, it is possible to conclude that the expectations and obligations inherent in the role of husband and wife, and especially those of parents, are antithetical. That is, our conceptions of love and marriage conflict with the older social functions of the family that formerly acted as a tie to the larger society. Those roles imply unselfishness and concern for others and are in conflict with a preoccupation with the self and self-fulfillment. The conclusion is that

……在二十世纪，婚姻在某种程度上脱离了家庭的范畴，因为在相当一部分中产阶级中，婚姻并不一定意味着生育子女……社会对婚姻的压力并非消失，但这种压力或许比美国历史上任何时候都弱……人们终于可以离开一段不喜欢的婚姻了。离婚作为解决不幸婚姻（即使是有年幼子女的婚姻）的一种方式，在今天比以往任何时候都更容易被接受。

… in the twentieth century, marriage has to some extent become separated from the encompassing context of family in that it does not necessarily imply having children in significant sectors of the middle class…. Social pressure to marry is not absent, but it is probably weaker than ever before in American history…. Finally, one can leave a marriage one doesn’t like. Divorce as a solution to an unhappy marriage, even a marriage with young children, is far more acceptable today than ever before.

（贝拉等人，1985，89-90）

(Bellah et al., 1985, 89–90)

离婚

Divorce

婚姻模式最显著的变化是离婚成为婚姻中常见且被接受的一部分。城市工业社会的高离婚率反映了（1）婚姻与宗教的分离，（2）妇女解放，以及（3）价值观的转变，开始强调个性和个人幸福。工业化在任何地方都导致了离婚率的上升。在美国，自20世纪初以来，结婚率基本保持稳定，在经济低迷时期下降，但最终回升。离婚率从1910年的每1000人0.9起上升到1981年的5.3起，最终在2012年稳定在每1000人3.4起（见表12.2b；谷歌也有图片统计）。 1965 年至 1975 年间，美国离婚率几乎翻了一番。美国的离婚率居世界首位：几十年来，大约有四成的婚姻以离婚告终。过去，大多数离婚发生在 20 至 35 岁之间，他们的结婚时间不长，或者在配偶十几岁时就结婚。如今，离婚最多的年龄段是 45 至 49 岁。男性离婚年龄中位数为 35.6 岁，女性为 33.2 岁。超过三分之一的离婚发生在婚后第四年，以离婚告终的婚姻持续时间中位数约为七年。地理位置似乎对离婚数量也有影响。离婚率最低的州是马萨诸塞州（2.4），而离婚率最高的是内华达州（9.0）。请参阅：www.divorcestatistics.org。

The most notorious change in the marital pattern is that divorce has become a frequent and accepted part of it. The high rates of divorce in urban industrial societies reflect (1) the separation of marriage from religion, (2) the emancipation of women, and (3) the change in values to a new emphasis on individuality and personal happiness. Industrialization has had the effect of increasing divorce rates wherever it has appeared. In the United States, marriage rates have remained more or less stable since the turn of the twentieth century, decreasing in economic downturns, but eventually coming back up. Divorce rates increased from 0.9 divorces per 1,000 people in 1910 to 5.3 in 1981 and finally stabilized at 3.4 per 1,000 in 2012 (see Table 12.2b; Google also has statistics in images). The annual divorce rate nearly doubled in the decade of 1965 to 1975. The American rate is the highest in the world: for several decades, about four out of ten marriages ended in divorce. In the past, the majority of divorces were granted to people between 20 and 35 years old who had been married a short time or who married when either spouse was a teenager. Today, the age group exhibiting most divorces is the 45- to 49-year olds. The median age at divorce is 35.6 for males and 33.2 for females. Over one-third of divorces take place by the fourth year of marriage, and the median duration of marriages that end in divorce is about seven years. Location also seems to play a part in the number of divorces. The state with the lowest divorce rate is Massachusetts (2.4), while the highest rate is held by Nevada (9.0). See: www.divorcestatistics.org.

离婚的主要原因是性格差异和不合；更具体的个人问题，如吸毒和酗酒、不忠、身体或心理虐待、经济困难，很少被认为是原因。沟通能力差、对婚姻缺乏承诺以及生活重心发生巨大变化也常常被认为是离婚的诱因。（参见：www.divorce.lovetoknow.com/Top_Reasons_for_Divorce.htm）

Leading causes of divorce are personality differences and incompatibility; more specific individual problems, such as drug and alcohol abuse, infidelity, physical or psychological abuse, and financial difficulties, are more seldom cited as causes. Poor communication skills, a lack of commitment to the marriage, and a dramatic change in priorities are also frequently mentioned as springboards for divorce. (See: www.divorce.lovetoknow.com/Top_Reasons_for_Divorce.htm.)

女性似乎在婚姻中更不幸福，更有可能主动分居，最终导致离婚。婚姻不稳定也常常导致离婚，这些因素还包括：（1）“反弹式”结婚；（2）配偶一方对另一方家庭抱有敌意，导致其被迫远走他乡；（3）配偶双方的家庭背景在宗教、民族、种族、教育或社会阶层方面存在巨大差异，导致价值观差异；（4）依赖一方的家庭获得收入、住所或情感支持；（5）配偶一方家庭婚姻不稳定；（6）相识不到六个月或订婚超过三年后结婚；以及（7）婚前或婚后不久怀孕（McGoldrick & Carter，1988）。当然，这并不是说存在一种或多种上述情况的婚姻必然会破裂。这只是表明这类婚姻在统计上很有可能以离婚告终。

Women appear to be unhappier in marriages and are more likely to initiate separation leading to divorce. Marital instability that often leads to divorce can also include (1) marrying on the rebound; (2) hostility toward the family of orientation of one of the spouses by the other, resulting in pressure to move far away; (3) dramatic differences in the spouses’ family backgrounds in terms of religion, ethnicity, race, education, or social class, resulting in differences in values; (4) dependence on one of the families of orientation for income, shelter, or emotional support; (5) unstable marriages in the families of either spouse; (6) marriage after being acquainted for less than six months or after an engagement period of more than three years; and (7) pregnancy before marriage or very shortly after marriage (McGoldrick & Carter, 1988). Of course, this is not to say that marriages in which one or more of these circumstances exist will necessarily break up. It is only an indication that such marriages have a good statistical probability of ending in divorce.

尽管人们普遍认为一半的婚姻注定以离婚告终，但许多婚姻仍然保持稳定。美国国家卫生统计中心主持的一项研究计算出，婚姻头十年离婚或分居风险的下降百分比。降低离婚风险的因素包括：年收入超过5万美元（而非低于2.5万美元）、婚后七个月或更长时间生育（而非婚前生育）、结婚年龄超过25岁（而非18岁以下）、原生家庭完整（而非父母离异）、有宗教信仰（而非无宗教信仰）以及大学学历（而非高中辍学；Bramlett & Mosher，2002，第23页）。

Despite the widespread belief that half of all marriages are fated to end in divorce, many marriages remain stable. A research study under the auspices of the National Center for Health Statistics has calculated percentage-point decreases in the risk of divorce or separation during the first ten years of marriage. The factors responsible for a decrease in the risk of divorce include an annual income over $50,000 (as against under $25,000), having a baby seven months or more after marriage (as against having one before marriage), marrying at over 25 years of age (as against under 18), coming from an intact family of origin (as against having divorced parents), having a religious affiliation (as against having none), and having some college (as against being a high school dropout; Bramlett & Mosher, 2002, 23).

许多机构收集离婚统计数据，但由于离婚记录的差异，很难报告一个可靠的数字。其中一个机构提供的离婚数据显示，初婚的离婚率高达41%；再婚的离婚率同样高达60%；三婚的离婚率更是高达73%（www.mckinlyirvin.com/blog/divorce/32shocking-divorce-statistics/）。

A number of organizations gather statistics on divorce, but a secure number is difficult to report because of the differences in which divorces are recorded. Divorce facts presented by one such organization state that 41 percent of first marriages will end in divorce; 60 percent of second marriages will equally end in divorce; and 73 percent of third marriages will end in divorce (www.mckinlyirvin.com/blog/divorce/32shocking-divorce-statistics/).

诸多研究试图探究幸福持久婚姻的要素。多项研究结果表明，夫妻必须积极参与彼此的生活。这些研究不仅对已婚多年的夫妻进行了调查，还对他们的脑部进行了扫描，以探究当看到配偶的照片时，而非看到其他人的照片时，大脑的哪些区域会被激活。研究人员惊讶地发现，虽然有些夫妻仍然保持着非常浪漫的关系，但所有夫妻都表现出对彼此的深厚感情和对彼此生活的兴趣（Parker-Pope，2010）。

Studies have attempted to fathom what it is that makes for a happy and lasting marriage. The results of several such studies have determined that couples must remain active in each other’s lives. The studies included surveys of long-married couples, but also their brain scans, to see which parts of the brain are activated when a picture of a spouse is shown, as opposed to seeing pictures of other people. The researchers were amazed to discover that some of the couples still maintained very romantic relations, but all indicated a deep attachment to one another and interest in each other’s lives (Parker-Pope, 2010).

不同教育程度女性的离婚率有所不同。例如，1990年至1994年间结婚的拥有四年制大学学位的女性，离婚率为16.5%（而1975年至1979年间结婚的拥有类似教育程度的女性，离婚率为29%）。然而，仅有高中文凭的女性，离婚率一直居高不下，而未完成高中教育的女性离婚率则有所上升。这种离婚率差异可能是经济因素造成的；受教育程度越高的女性收入越高，而经济困难会导致离婚的可能性更大（Martin，2006）。

Divorce rates have been different for women of varying educational attainment. For instance, for women with a four-year college degree who married between 1990 and 1994, the divorce rate was 16.5 percent (whereas it had been 29 percent for similarly educated women who had married between 1975 and 1979). However, for women with only a high-school diploma, the divorce rate remained constantly high, and it increased among women who did not finish high school. Such differences in divorce rates may be a result of economic factors; the more educated women dispose of a higher income, and financial difficulties make divorce much more likely (Martin, 2006).

再婚

Remarriage

在60%到75%的案例中，双方都会再婚，尽管离婚在结过多次婚的夫妻中更为常见。离婚的女性比离婚的男性多，主要是因为男性更有可能再婚，而且比女性更早再婚。约有6%的已婚夫妇已经结过三次或三次婚。次数更多。离婚和再婚的频繁发生，导致分析人士将这些婚姻称为“连续婚姻”或“一次性婚姻”。目前，许多离婚人士选择同居，而不是再婚。

In 60 to 75 percent of the cases, both partners remarry, although divorce occurs more frequently among couples who have been married more than once. There are more divorced women than divorced men, principally because men are more likely to remarry and they do it sooner than women. About 6 percent of married couples have been married three or more times. The frequency of divorce and remarriage has led analysts to call these marriages serial or throwaway. Presently, many divorced persons choose to cohabit, rather than remarry.

图片 12.2在我们这个离婚率高的时代，孩子周末去爸爸家玩已经成为一种常态。一些家庭由于融合或重组而变得更加庞大，这源于多次再婚，以及不同家庭的子女和亲戚。

IMAGE 12.2 A child going over to Dad’s for the weekend has become a norm in our divorce-prone age. Some families are becoming extended as a result of being blended or reconstituted, that is, because of several remarriages and various sets of children and relatives.

iStock：© shapecharge

iStock: © shapecharge

人口统计学家和社会学家驳斥了女性渴望找到丈夫的陈旧观念。事实上，专家指出，如今对婚姻持怀疑态度的是女性。女性正变得自给自足，她们越来越不愿失去独立性。当然，如果女性对婚姻不感兴趣，男性也很难结婚。一位社会学家称女性对婚姻缺乏兴趣是过去20年“真正的革命”。

Demographers and sociologists contradict the time-worn myths of women desperate to find husbands. In fact, according to experts, it is women who are skeptical of marriage nowadays. Women are becoming self-sufficient, and they are increasingly loath to lose their independence. And, of course, it is difficult for men to marry if women are not interested. One sociologist calls women’s lack of interest in marriage “the real revolution” of the last 20 years.

这项研究的另一个发现是，未婚女性只要经济状况稳定，就能很好地应对未婚状态，而男性则表现不佳。女性拥有社交和建立人脉的技能，能够建立社会网络来维持生计，而男性往往缺乏这些技能。未婚男性即使拥有足够的财富，也比女性更难融入社会群体。随着年龄的增长，融入社会网络变得比在事业上取得成功更为重要。建立这样的社会网络通常是女性的职责。正如我们之前所见，女性似乎是大多数离婚的始作俑者，而面临离婚的男性往往会质疑自己的价值和能力。相比之下，女性更加务实：她们更关心财务状况、做出不熟悉的决定以及搬家。只要这些眼前的问题得到成功解决，她们就能很好地适应新的状态，并感受到新的“自由感”。那些表示离婚后感到不幸福的女性都是年轻的母亲，她们面临经济困难，肩负着沉重的责任。

Another finding of the research into this phenomenon is that whereas unmarried women, as long as they have a stable financial situation, cope very well with the unmarried status, men do less well. Women have social and bonding skills that allow them to create a social network to sustain them, but men often lack such skills. Unmarried men, even when they have enough money, have more difficulty than women in fitting into a social group. As one grows older, it becomes more important to be a part of a social network than to be successful occupationally. Creating such a network has usually been the work of women. As we saw earlier, women appear to instigate most divorces, and men, faced with divorce, tend to question their worth and competence. Women, by contrast, are more pragmatic: they are more concerned with finances, making unfamiliar decisions, and relocating. As long as these immediate problems are resolved successfully, they adjust well to their new status, citing a new “sense of freedom” to boot. The women who report feeling unhappy after a divorce are young mothers who experience financial difficulties and who are overwhelmed with their responsibilities.

离婚的盛行使得它更容易被接受。越来越多的人意识到离婚是社会变革的自然产物，大多数人开始将离婚视为“正常”。民意调查显示，人们认为离婚是解决不可接受的婚姻问题的可接受方案。妇女运动推广了这样一种观念：女性独立、自信是可以的，并且男人并非女人幸福的必需品。所有这些因素使得双方，尤其是女性，更容易选择离婚，而不是继续维持不幸福的婚姻。事实上，绝大多数离婚人士都认为离婚是正确的选择，并且否认维持婚姻会更好（当然，那些经历了婚姻不和但最终坚持下来的人也相信他们做出了正确的决定！）。

The prevalence of divorce has made it much more acceptable. A growing number of people realize that divorce is a natural product of social change, and a majority are beginning to consider the divorced status “normal.” Polls show that people believe divorce to be an acceptable solution to an unacceptable marriage. The women’s movement has popularized the notion that it is all right for women to be independent and assertive and that men are not necessary to women’s happiness. All these factors have made it easier for both partners, but for women especially, to seek a divorce instead of remaining in an unhappy marriage. In fact, an overwhelming majority of divorced people feel they made the right choice in divorcing and deny that they would have been better off staying married (of course, those who weathered a period of discord in a marriage but decided to stick it out also believe that they made the right decision!).

此外，近年来离婚法也变得更加简化。几乎一半的州都采用了“无过错”离婚制度，即双方无需证明对方有过错。此外，一些支持系统也应运而生，帮助夫妻在离婚过程中解决情感、经济和法律方面的问题。图书馆书架上充斥着关于如何处理离婚的书籍，大学也开设了相关课程，有需要的人也可以广泛获得免费咨询服务。

In addition, divorce laws have become much simpler in recent years. Almost half of all states have adopted forms of “no-fault” divorce in which neither party has to prove that the other is to blame. Finally, support systems have sprung up to help couples with their emotional, financial, and legal problems as they go through a divorce. Books about how to handle divorce abound on library shelves, colleges offer courses on the same subject, and free counseling is also widely available to those in need.

无过错离婚制度被誉为进步，因为它旨在消除离婚夫妻之间相互指责带来的羞辱和怨恨。然而，它对妇女和儿童的影响却不如预期。无过错离婚的后果是生活水平急剧下降，获得赡养费的希望渺茫，子女抚养费更是少得可怜——简而言之，对妻子和孩子来说是一场“经济灾难”（Weitzman，1985）。法院倾向于在短期内判给适度的赡养费，并期望女性能够学会自力更生。虽然这种期望对于二十多岁的女性来说是现实的，尤其是在她没有孩子的情况下，但对于年纪较大或有几个孩子的女性来说，这完全不现实，因为她们一生中最美好的时光都花在了家庭主妇身上，因此几乎没有什么市场化的技能。子女抚养费通常也很低，但主要问题在于，非监护父母（通常是父亲）往往根本不支付，或者只是偶尔支付。事实上，许多父亲拖欠抚养费，以至于联邦立法现在规定，这些款项必须自动从工资中扣除。然而，“赖账爸爸”却继续逃避责任。

The no-fault divorce was hailed as progressive because it was designed to eliminate the humiliations and bitterness of accusatory confrontations between the divorcing spouses. However, its effect on women and children was not as expected. The consequences of no-fault divorce are a steep decline in the standard of living, little hope of receiving alimony, far too little money for child support—in short, “an economic disaster” for wives and children (Weitzman, 1985). The courts tend to award a modest amount in alimony for a short period of time, and then the expectation is that the woman will learn to stand on her own economic feet. Although this expectation is realistic for a woman in her twenties, particularly if she is childless, it is utterly unrealistic for older women or women with several children, who have spent the best years of their lives being housekeepers and, thus, have few marketable skills. Child support payments are also generally low, but the principal problem with them is that the noncustodial parent, most often the father, tends not to make them at all or to make them only sporadically. In fact, so many fathers are delinquent in their support payments that federal legislation now mandates that payments be automatically deducted from paychecks. “Deadbeat dads,” however, continue to avoid their responsibilities.

离婚的后果：无法愈合的伤口

Consequences of Divorce: Wounds That Do Not Heal

尽管离婚频率高且“正常”，但对离婚夫妇来说并非易事，对他们的孩子（如果有的话）来说更是如此。大量相关研究表明，女性因离婚而承受的压力和创伤比男性更大（Albrecht，1980，59-68）。原因很可能是男性通常经济状况更佳，因此更容易适应离婚后的生活。事实上，大多数离婚女性表示，她们离婚后的收入大幅下降。一个名为“美国离婚改革”的组织报告称，女性离婚后的生活水平下降了45%。

Despite its frequency and “normality,” divorce is not easy for the divorcing couple and is even less easy for their children, if there are any. From the numerous studies that have been made on the subject, it has been possible to learn that women suffer more stress and trauma from divorce than do men (Albrecht, 1980, 59–68). The reason may well be that men are generally in a better economic position and so their post-divorce adjustment is facilitated. In fact, a majority of divorced women report that their income following divorce decreased considerably. A group called Americans for Divorce Reform reports that women after a divorce experience a 45 percent drop in the standard of living.

虽然从这个角度来看，离婚对男性来说更容易，但心理上的适应可能更难：离婚男性自杀和从事危险行为的可能性比已婚男性高出39%。离婚后六年内未再婚的男性，发生车祸、酗酒、吸毒、抑郁和焦虑的几率更高，而且更容易患心脏病、高血压和中风（Felix、Robinson & Jarzynka，2013，3-7）。

Although from this perspective divorce is much easier for the male, the psychological adjustment may be harder for men: divorced men are 39 percent more likely to commit suicide and engage in risky behavior than married men. Men who are not remarried within six years following divorce have higher rates of car accidents, alcoholism, drug abuse, depression, and anxiety, in addition to being more susceptible to heart disease, high blood pressure, and strokes (Felix, Robinson, & Jarzynka, 2013, 3–7).

那些没有孩子、婚后几年就离婚的夫妻，对离婚的适应要好得多：他们加入了单身人士的行列，几乎失去了以前单身的痕迹。而那些结婚很久或有孩子的夫妻则不然：他们永远是“前夫”。

A much better adjustment to divorce is made by couples who are childless and who divorce after a few years of marriage: they join the ranks of single people with very little trace of their former status. Not so for those who have been married a long time or those who have children: they remain forever “the formerly married.”

离婚对孩子的影响更难评估，尽管很多孩子注定要经历父母离婚的痛苦。所有父母离婚的孩子都表示受到了创伤，但研究的共识似乎是，离婚越早，对孩子越好。学龄前儿童青少年在短期内可能反应更强烈，但他们的恢复速度也比大孩子快得多。九到十岁的孩子尤其容易受到离婚的冲击，因为他们的自我概念依赖于父母是否实际在家。在一项这样的研究中，孩子们甚至在多年后仍然表达出悲伤和无力感，男孩尤其容易受到影响。青少年对离婚的破坏性影响表现得更为明显（Wallerstein & Kelly，1983，438-452）。Wallerstein 和 Kelly 指出，父母离婚时处于青少年时期的青少年中有 68% 存在行为问题，男孩容易犯贩毒和偷窃等罪行，女孩则容易酗酒和吸毒（Conant & Wingert，1987，58）。一篇基于较新研究的文章指出，离婚有九种负面影响：早期吸烟习惯、双重使用利他林、数学和社交技能差、易生病、辍学可能性增加、犯罪倾向、中风风险增加、离婚可能性增加和早逝（Hansen，2013）。

The effects of divorce on children are more difficult to evaluate, although a large number of children are fated to go through the experience of their parents’ divorce. All children whose parents divorce report being traumatized, but the consensus of the research seems to be that the earlier the divorce occurs, the better for the children. Preschoolers may react more emotionally in the short term, but they also recover much more quickly than older children. It is the nine- and ten-year-olds who are especially shaken by divorce because their self-concept depends on having parents physically present in the household. In one such study, children expressed feelings of sadness and powerlessness even years later, with boys especially vulnerable. And teenagers manifest the damaging effects of divorce even more overtly (Wallerstein & Kelly, 1983, 438–452). Wallerstein and Kelly noted that 68 percent of those who were teenagers at the time of parental divorce had behavior problems, with boys tending to commit crimes such as drug peddling and theft and girls involved in alcohol and drug abuse (Conant & Wingert, 1987, 58). An article based on newer research states that nine negative effects of divorce have been found: early smoking habits, double use of Ritalin, poor math and social skills, susceptibility to illness, increased likelihood of dropping out of school, a propensity for crime, higher risk of stroke, greater chance of getting divorced, and earlier death (Hansen, 2013).

大多数孩子认为离婚前的冲突比离婚本身更糟糕。因此，“离婚家庭的孩子”所面临的困境，更确切地说，是父母多年争吵的结果（Luepnitz，1979，79-85）。尤其是在父母一方酗酒或有虐待倾向的情况下，孩子在分居或离婚后会表现出更好的表现。在某些情况下，父母在离婚后实际上会变得更有效，因为大部分紧张关系已经消除。

Most children maintain that the conflict preceding divorce is much worse than the divorce itself. Thus, the difficulties associated with “children of divorce” are probably more correctly the result of years of parental fighting (Luepnitz, 1979, 79–85). In particular, children show improvement after a separation or divorce in cases where one of the parents is alcoholic or abusive. In some instances, the parents actually become more effective after the divorce because much of the tension is removed.

心理学家沃勒斯坦（Wallerstein）进行的第二项研究，追踪了离婚家庭五年后的情况，似乎表明离婚的创伤即使能够愈合，也非常缓慢。虽然离婚的成年人五年后过得还算不错，但孩子们却并非如此。大约“37%的样本患有抑郁症，在学校无法集中注意力，难以交到朋友，并存在各种其他行为问题”（Wallerstein，1989，20；另见Wallerstein和Blakeslee，1989）。在为期十年的跟踪研究中，45%的已成年儿童生活得还算不错，但41%的儿童生活得不好。“他们步入成年时，还是忧心忡忡、成绩不佳、自嘲，有时甚至易怒的年轻男女”（Wallerstein，1989，20）。研究人员得出结论，离婚不被视为单一事件，而是一系列事件、搬迁和关系的彻底转变，“一个永远改变相关人员生活的过程”（Wallerstein，1989，20）。

A second study by psychologist Wallerstein, which followed the original families five years after divorce, seems to indicate that the wounds of divorce heal very slowly, if at all. Although the adults involved in the divorce were doing reasonably well five years later, the children were not. About “37 percent of the sample were depressed, could not concentrate in school, had trouble making friends and suffered a wide range of other behavior problems” (Wallerstein, 1989, 20; see also Wallerstein & Blakeslee, 1989). In the ten-year follow-up study, 45 percent of the children, who were now adults, were doing fairly well, but 41 percent were doing poorly. “They were entering adulthood as worried, underachieving, self-deprecating and sometimes angry young men and women” (Wallerstein, 1989, 20). The researchers conclude that divorce is not perceived as a single event but as a chain of events, relocations, and radically shifting relationships, “a process that forever changes the lives of the people involved” (Wallerstein, 1989, 20).

尽管沃勒斯坦的研究受到了批评，主要是因为它没有提供一个对照组来比较研究结果，但显而易见的是，离婚虽然偶尔能成为解决婚姻破裂问题的良方，但绝非易事，也并非理想的解决方案。然而，离婚的真正悲剧似乎在于它对孩子的影响，尤其是考虑到据估计，20世纪80年代中期出生的孩子中，有38%会在18岁之前目睹父母离婚。

Although the Wallerstein study has been criticized, mainly because it fails to present a control group with which the findings can be compared, it is clear that although divorce may on occasion be a solution to an impossible marriage, it is at no time an easy or desirable solution. The real tragedy of divorce, however, appears to be the effect on children, particularly in view of estimates that 38 percent of all children born in the mid-1980s will see their parents divorce before they turn 18.

两位社会科学研究人员（一位社会学家和一位心理学家）最近分析了数据显示单亲家庭和双亲家庭之间存在地理差异的数据。结果显示，单亲家庭更常见于从内华达州开始，延伸至新墨西哥州、俄克拉荷马州和美国南部腹地的弧形地带；而双亲家庭则更常见于从西部犹他州开始，延伸至南北达科他州、明尼苏达州，止于新英格兰和新泽西州的弧形地带。这一发现的重要性在于，在双亲家庭中成长的孩子在经济上会表现得更好——他们能够获得更好的教育，未来获得更好的工作，并拥有更高的向上流动性（Leonhardt，2015，A3）。

Two social science researchers (a sociologist and a psychologist) have recently analyzed data that showed a geographic divide between single-parent and two-parent families. It seems that single-parent families are much more frequent in an arc that begins in Nevada and extends through New Mexico, Oklahoma, and the Deep South, whereas two-parent families run in an arc that starts in the West in Utah and ranges through the Dakotas, Minnesota, ending in New England and New Jersey. The importance of this finding is that children do much better economically—they get better educations, better jobs in the future, and experience more upward mobility—when they are raised in a two-parent family (Leonhardt, 2015, A3).

总而言之，离婚虽然能带来自由和独立，但也会带来经济困境，再婚也会带来与初婚相同的问题。人们越来越意识到，一个人不幸福的原因未必是配偶，而且人们也越来越坚信离婚的创伤可能是严重且永久的（Hall，1991，B4）。无论原因是什么，民意调查和婚姻顾问都一致认为，人们正在加大力度防止婚姻破裂。

In sum, although divorce can bring freedom and independence, it also brings with it economic hardships, and remarriage brings with it the same problems as first marriages. There is also a growing realization that the cause of a person’s unhappiness may not necessarily be a spouse, as well as the conviction that the wounds of divorce can be severe and permanent (Hall, 1991, B4). Whatever the reasons, polls and marriage counselors agree that there is an increased effort to keep marriages from falling apart.

新美国家庭

The New American Family

可以肯定地说，美国家庭与其他当代制度一样，仍在经历现代化的后遗症。社会科学家对美国家庭给予了极大的关注，因为美国家庭的变化比其他地方更加明显，尤其是自20世纪中期以来。受20世纪60年代意识形态动乱的影响，许多年轻人开始将家庭视为一种压抑的制度，以及暗藏冲突的温床。当时，“另类生活方式”成为一种时尚，许多人选择离开家庭，尝试集体生活。然而，大多数这样的家庭在几年后就解散了：这显然不是一种正常的家庭生活。

It is safe to say that the American family, like other contemporary institutions, is still undergoing the aftereffects of modernization. Much attention has been focused on it by social scientists because the changes in it have been more visible than elsewhere, particularly from mid-twentieth century on. Infected by the ideological ferment of the 1960s, many young people began to see the family as a repressive institution and a breeding ground of conflicts under the surface. It became fashionable at that time to consider “alternative lifestyles,” and many drifted away to try communal living arrangements. Most of these dissolved after a few years: it is apparently not a functional family life.

新美国家庭的形式

Forms of the New American Family

核心家庭由爸爸、妈妈、两个孩子和一只猫狗组成，这种刻板印象已不再符合现实。随着离婚和再婚率的上升，美国家庭的面貌与20年前相比已大不相同。

The stereotype of the nuclear family consisting of Daddy, Mommy, two kids, and a dog or a cat no longer corresponds to reality. With the high incidence of divorce and subsequent remarriage, American families look quite different than they did even 20 years ago.

单身生活方式。除了传统家庭之外，似乎还有一种替代方案正在流行，那就是保持单身。这种选择一直以来都是可行的，但在过去，它背负着更大的社会耻辱。单身的叔叔或未婚的姑姑被视为不合群的人，生活在亲戚家庭的边缘。当然，在大家庭中，他们总有空间和功能，而在核心家庭中则没有。截至2013年，单身美国人占18岁及以上美国居民总数的44.1%（www.census.govnewsroom/releases/archives/facts-for-features-special-editions/cb13_ff21.html）。他们往往在郊区拥有房产，生活方式与已婚有子女的邻居相似。

The Single Lifestyle. An alternative to the traditional family that seems to have taken hold is simply remaining single. This alternative has always been available to people, but in the past it carried a much greater social stigma. The bachelor uncle or the maiden aunt was looked on as a misfit who lived at the margin of a relative’s family. Of course, in extended families there was always room and a function for them, whereas in nuclear families there was not. As of 2013, single Americans represent 44.1 percent of all U.S. residents age 18 and older (www.census.govnewsroom/releases/archives/facts-for-features-special-editions/cb13_ff21.html). They tend to be homeowners in the suburbs, resembling in their lifestyle their married-with-children neighbors.

同居。未婚伴侣同居的习俗——用社会科学的语言来说就是同居——在过去约40年里逐渐兴起，成为许多人婚前生活的一个预期阶段。根据美国人口普查局的数据，2012年未婚伴侣家庭数量为5600万，占全国家庭数量的46%。超过一半的初婚都是在同居后开始的。一些学者认为，现在估计有60%到75%的伴侣在结婚前同居（Stanley、Whitton和Markman，2004年）。人口普查局在2012年统计的同居伴侣数量为780万。与1996年只有290万的同居伴侣相比，这是一个巨大的增长。此外，2012年结婚的伴侣中有三分之二在正式结婚前同居至少两年。

Living Together. The custom of unmarried couples living together—cohabitation, in the language of the social sciences—has emerged in approximately the past 40 years as an expected stage of premarital life for many. According to the U.S. Census Bureau, the number of unmarried couple households in 2012 was 56 million, which represented 46 percent of households nationwide. Over half of all first marriages are preceded by living together. Some scholars maintain that an estimated 60 to 75 percent of couples now live together before marrying (Stanley, Whitton, & Markman, 2004). The Census Bureau in 2012 counted 7.8 million couples as cohabiting. This is a large increase from 1996, when only 2.9 million cohabited. Moreover, two-thirds of couples married in 2012 cohabited for at least two years before marrying formally.

同居在24至35岁年龄段最为普遍，其次是25岁以下年龄段。尽管大约有30%到40%的大学生在任何时候都处于同居状态，但同居并不仅限于他们。在职夫妇同居的可能性几乎是大学生的两倍。事实上，同居的夫妇往往来自低收入、低教育背景。高教育水平与高收入和婚姻之间似乎存在着正相关关系；换句话说，受教育程度更高、社会经济地位更高的人往往结婚而不是同居：网上可以找到大量关于同居的信息。例如，请参阅www.theatlantic.com/health/archjive/2014/03/the-science-of-cohabitation-astep-toward-marriage-not-a-rebellion.284512/。

Cohabiting is most popular for the 24–35 age group, while the next highest number of couples are found in the under-25 age group. Even though approximately 30 to 40 percent of college students are cohabiting at any given time, cohabitation is not limited to them. Working couples are almost twice as likely to cohabit as college students. In fact, couples who cohabit tend to come from lower-income, lower-educational backgrounds. A positive relationship appears to exist between higher levels of education and higher income and marriage; in other words, persons with more education and higher social and economic status tend to marry rather than cohabit: a large number of facts about cohabitation may be found online. See, for instance, www.theatlantic.com/health/archjive/2014/03/the-science-of-cohabitation-astep-toward-marriage-not-a-rebellion.284512/.

大约从20世纪70年代开始的大量研究表明，同居关系通常并不成功。事实上，证据似乎表明婚前同居是离婚的一个风险因素。每个社会庆祝婚姻的仪式和典礼都旨在让家庭和社区，从某种意义上说，是整个社会的参与，因为婚姻是国家承认的合法契约。反过来，他们的参与，其结果是维持夫妻感情。如果缺乏参与，任由夫妻自行其是，他们的关系往往会更加脆弱，分手也会变得更加常见。一项基于联邦政府对超过13,000人进行的调查的分析向社会学家表明，婚前同居的夫妻更愿意接受离婚作为解决婚姻问题的途径，并且不会迫于家庭压力而维持不美满的婚姻（Bumpass & Sweet，1995）。然而，当代家庭委员会的一项新研究认为，导致最终离婚的并非婚前同居，而是结婚年龄（Manning、Brown 和 Payne，2014）。研究人员发现，18岁左右开始同居的同居夫妻，其离婚率高达60%。而23岁左右开始同居的夫妻，离婚率为30%，这与之前的研究结果相近。

Much research beginning in about the 1970s indicated that cohabiting unions were not generally successful. In fact, evidence seemed to show that cohabiting before marriage was a risk factor for divorce. The rituals and ceremonies with which marriages are celebrated in every society serve to involve the family and community, and in a sense the whole society, because marriage is a legal contract recognized by the state. Their involvement, in turn, has the result of keeping couples together. When the involvement is lacking and couples are left to their own devices, their relationship tends to be more brittle and a breakup becomes more common. An analysis based on a federal government survey of over 13,000 individuals indicated to sociologists that couples that cohabit before marriage are more willing to accept divorce as a solution to marital problems and are not subjected to pressures from their families to remain in an unsatisfactory marriage (Bumpass & Sweet, 1995). A new study from the Council on Contemporary families, however, maintains that it is not the fact of cohabiting before marriage that leads to an eventual divorce, but rather the age at marriage (Manning, Brown, and Payne, 2014). The researchers found that cohabiting couples that began living together at around 18 had a subsequent divorce rate of 60 percent. Those couples who committed to cohabitation at around 23 had a divorce rate of 30 percent, a similar percentage that earlier studies had revealed.

单亲家庭。增长最快的家庭类型之一是由离异父母和一个或多个孩子组成的。过去，这名父母几乎完全是母亲。如今，父亲越来越多地要求并获得了孩子的监护权。离婚并非单亲家庭的唯一原因。死亡、疾病和被送进收容机构也导致了这类家庭数量的增加。然而，离婚如今已成为一个主要原因，此外，未婚女性更有可能留下孩子，而不是像过去那样将孩子送去领养。

The Single-Parent Family. One of the fastest-growing types of family is made up of one divorced parent and a child or children. In the past, that parent was almost exclusively the mother. Increasingly, fathers have requested and received custody of children. Divorce is not the only cause of single-parent families. Death, ill health, and institutionalization contribute to the numbers of such families. However, divorce is now a predominant cause, in addition to the fact that unmarried women are much more likely to keep children rather than give them up for adoption, as in the past.

单亲家庭往往是暂时的，要么在孩子成年搬出家，要么在父母再婚（如果丧偶或离婚）或初婚时结束。然而，单亲家庭的数量急剧增加。例如，1970年，40%的家庭由已婚夫妇和子女组成，但到了2000年，这类家庭仅占所有家庭的24%。2014年，不到一半（46%）的18岁以下美国儿童与已婚异性恋父母生活在一起（利文斯顿，皮尤研究中心，2014年：www.pewresrach.org/fact-tanks/2014/12/22/less-than-half-of-us-kids-today-live-in-a-traditional-family/）。

Single-parent families tend to be temporary, ending either when the child reaches majority age and moves out of the house or when the parent remarries (if widowed or divorced) or marries for the first time. However, the number of single-parent households has increased dramatically. In 1970, for example, 40 percent of all households consisted of married-couple families with children, but in 2000 they made up only 24 percent of all households. In 2014, less than half—46 percent—of American kids younger than 18 years of age were living in a home with two married heterosexual parents (Livingston, Pew Research Center, 2014: www.pewresrach.org/fact-tanks/2014/12/22/less-than-half-of-u-s-kids-today-live-in-a-traditional-family/).

2012年，单亲家庭儿童的比例因种族和西班牙裔血统而异：一半（55%）的黑人儿童、31%的西班牙裔儿童和13%的亚裔儿童与单亲家庭生活。9%的黑人儿童也与祖父母生活在一起，而西班牙裔儿童和白人儿童的比例分别为6%和4%。

In 2012, the proportion of children with single parents varied greatly by race and Hispanic origin: half (55 percent) of black children, 31 percent of Hispanic children, and 13 percent of Asian children lived with a single parent. Nine percent of black children also lived in their grandparents’ household, compared with 6 percent of Hispanic children and 4 percent of white children.

人口普查局还报告称，与单亲母亲生活或与父母双亡的儿童最有可能陷入贫困，并生活在接受公共援助的家庭中。儿童是人口中最贫困的群体。2012年，五分之一的儿童（即1610万）生活在贫困之中。由于2007年的经济衰退，当年贫困儿童的数量增加了280万。2014年，四口之家的贫困率低于23,492美元。这相当于每月约1,958美元，每周452美元，每天64美元。

The Census Bureau also reports that children living with single mothers or apart from both parents are most likely to be poor and in households receiving public assistance. Children are the poorest segment of the population. In 2012, one in five children, or 16.1 million, were poor. As a result of the economic downturn of 2007, 2.8 million more children were living in poverty that year. The poverty rate in 2014 was below $23,492 for a family of four. This equals about $1,958 a month, $452 a week, and $64 a day.

这类家庭收入较低，这使得独自抚养孩子的问题更加严重。大多数单亲家长为女性，且女性收入低于男性。有幼儿的女性可能只能从事兼职工作，而女性户主的受教育程度往往低于美国女性的平均水平（40% 的女性户主没有高中毕业）。这类家庭面临的其他困难包括时间紧迫，以及单亲家长在疲惫不堪和经济压力下不得不同时扮演两个孩子的角色。鉴于研究表明，无论家庭结构如何，不良的养育方式是导致儿童行为偏差的主要原因（Patterson，1980），这一事实尤其令人遗憾。关于单亲家长的统计数据可以在网上找到：例如：www.census.gov/content/dam/Census/library/publications/2014/demo/p60-249.pdf。另见表 12.3。

The lower income of such households compounds the problems of caring for children single-handedly. Most single parents are women and women earn less than men. Women with small children may have to work only on a part-time basis, and women who head families tend to have less education than the average American woman (40 percent of women who head households did not graduate from high school). Additional difficulties encountered by such households revolve around lack of time and that the one parent present must play the roles of two parents in the face of fatigue and worry over money matters. This fact is particularly regrettable in the light of research that suggests poor parenting, no matter what the structure of the family, is primarily responsible for deviant behavior among children (Patterson, 1980). Statistical data about single parents may be found online: see, for instance: www.census.gov/content/dam/Census/library/publications/2014/demo/p60-249.pdf. See also Table 12.3.

表 12.3 与有工作的母亲一起生活的五岁以下学龄前儿童的主要儿童保育安排（按选定特征）：2011 年春季（单位：千）

TABLE 12.3 Primary Child Care Arrangements of Preschoolers Under Five Years Old Living with Employed Mothers by Selected Characteristics: Spring 2011 (numbers in thousands)

Z - 表示或四舍五入为零。X - 不包括。B - 基数小于 75,000。

Z—Represents or rounds to zero. X—Not included. B—Base less than 75,000.

^/1仅显示受雇或在校女性的父母照顾时间。

^/1Time in parental care is only shown for women who worked as an employee or were in school.

^/2上幼儿园/小学不被视为儿童保育安排，此处显示仅供参考。

^/2Attendance in kindergarten/grade school is not considered to be a child care arrangement and is shown here for informational purposes only.

^/3不在定期的儿童保育安排中，包括仅在学校或自我照顾的儿童。

^/3Not in a regular child care arrangement, including those who are only in school or self-care.

^/4 TANF 代表贫困家庭临时援助。

^/4TANF stands for Temporary Assistance for Needy Families.

注：主要儿童保育安排定义为每周使用时间最多的安排。由于每周使用时间最长的安排之间存在并列关系，因此所有安排的儿童人数可能超过儿童总数。

Note: The primary child care arrangement is defined as the arrangement used the most hours per week. The numbers for all arrangements may exceed the total number of children because of ties among arrangements in the greatest number of hours per week.

资料来源：美国人口普查局，收入和项目参与调查 (SIPP)，2008 年第 8 轮。

有关抽样和非抽样误差的信息，请参阅www.census.gov/sipp/sourceac/S&A08_W1toW6%28S&A-13%29.pdf

Source: U.S. Census Bureau, Survey of Income and Program Participation (SIPP), 2008 Panel, Wave 8.

For information on sampling and nonsampling error see www.census.gov/sipp/sourceac/S&A08_W1toW6%28S&A-13%29.pdf

图片 12.3她的孩子、他的孩子以及他们的孩子组成了一个大家庭，这是连续婚姻的结果。

IMAGE 12.3 Her children, his children, and their children make for a large blended family, a result of serial marriage.

混合家庭或重组家庭。再婚产生的另一种常见形式是混合家庭或重组家庭。这种家庭由再婚的双方、前一段婚姻的子女，有时还有现任婚姻的子女组成。

The Blended or Reconstituted Family. Another common form that is created as a result of remarriage is the blended or reconstituted family. This type of household consists of the two remarried partners, children of either previous marriage, and sometimes children of the current marriage.

由于离婚现象十分普遍，重组家庭被描述为代表未来的潮流。重组家庭自身也存在一系列问题。在多次再婚的情况下，家庭成员之间的关系会成倍增加——比如家庭成员中有好几对兄弟姐妹、祖父母和其他亲戚。嫉妒和竞争的发生率也会相应增加。由于女性往往获得子女的监护权，再婚男性通常会有不与其同住的子女，而他自己则与非亲生子女同住。一些研究似乎也表明，与继父同住的女孩比与亲生父母或仅与母亲同住的女孩更容易出现性行为、吸毒和学校相关问题（Cherlin，1981）。然而，这些发现并不意味着两者之间存在因果关系；也就是说，女孩与其母亲及其母亲的新丈夫同住并不意味着她会做出不良行为。研究结果确实表明，如果家庭中存在冲突和紧张，或者孩子充满敌意和怨恨，那么家庭中就可能出现问题。

Blended families have been described as representing the wave of the future, because divorce is so common. Blended families have their own sets of problems. Relationships are multiplied under the circumstances of several remarriages—one has several sets of siblings, grandparents, and other relatives. Occasions for jealousy and rivalry are similarly increased. Because women tend to get custody of children, a remarried man will often have children who do not live with him, while he lives with children who are not biologically his. Some research also seems to indicate that girls who reside in a household with a stepfather tend to have a higher incidence of sexual activity, drug involvement, and school-related problems than girls who live with both natural parents or with just their mother (Cherlin, 1981). These findings, however, are not meant to be interpreted as establishing a cause-and-effect relationship; that is, the fact that a girl lives in a household with her mother and her mother’s new husband does not mean that she will engage in undesirable behavior. The findings do point to a potential for problems in a household where conflict and tension are present or where a child is filled with hostility and resentment.

小型、无子女或独生子女家庭。自工业革命以来，西方世界的家庭规模一直在缩小。1930年，美国家庭的平均人口为4.11人；20世纪80年代，这一数字降至3.21人；2000年则为2.59人。家庭规模取决于生育率。1960年至1989年间，美国的生育率下降了近50%，从每名妇女生育3.7个孩子下降到1.9个孩子（Popenoe，1995，50）。2013年，这一生育率仍然保持不变，但预计还会上升。但是，无子女婚姻（即只生育一个孩子的婚姻）的趋势在美国社会中尚属新鲜事物。

The Small, Childless, or One-Child Family. Families in the Western world have been growing smaller since the Industrial Revolution. In 1930, the average family in the United States consisted of 4.11 persons; in the 1980s, it consisted of 3.21 persons, and in 2000 of 2.59 persons. Family size depends on the fertility rate. Between 1960 and 1989, fertility in the United States declined by almost 50 percent, from 3.7 children per woman to 1.9 (Popenoe, 1995, 50). This rate is still the same in 2013, but it is predicted to rise. But the trend toward childless marriages, or marriages in which only one child is produced, is something fairly new in American society.

每个家庭子女数量下降的部分原因是经济因素。由于越来越多的女性为了维持舒适的生活水平而工作，长期休假对家庭来说是一种负担。渴望事业的女性也认为，如果她们不必经常缺勤照顾生病的孩子，就更有可能获得晋升。当然，避孕药具、堕胎和绝育的普及使得不生育或只生育一个孩子变得相对容易。最后，由于媒体宣传了一些行为科学家的观点，即父母在很大程度上决定了孩子的成长，许多已婚夫妇害怕承担起父母的角色。与此同时，一种相反的趋势也显而易见：越来越多三四十岁的女性在追求成功的事业后，感到自己的生物钟正在逐渐耗尽，决定趁着还能生育的时候生孩子。这种趋势已经变得如此明显，以至于媒体将其称为即将到来的“婴儿潮”。这种新趋势或许可以防止出生率大幅下降。

Some of the reasons for the decline in the number of children per family are economic in nature. Because more women are working to maintain comfortable standards of living, extended leaves of absence are hardships on the family. Women who want careers also feel that they are more likely to be promoted if they are not frequently absent to care for ill children. And, of course, the availability of contraceptives, abortion, and sterilization make it relatively easy to remain childless or to have only one child. Finally, because the media have publicized the opinion of some behavioral scientists that parents largely determine how their children turn out, many married couples fear to undertake parental roles. At the same time, a countertrend is also discernible in that increasing numbers of women in their thirties and forties, having pursued successful careers and feeling that their biological clocks are running out, are deciding to have children while they still can. This trend has become so apparent that the media have labeled it an impending “baby boomlet.” This new trend may keep the birthrate from slumping too far.

美国家庭变化的一些意想不到的影响

Some Unintended Effects of the Changing American Family

毫无疑问，我们正在见证家庭制度的变革。正如核心家庭模式随着工业化和城镇化带来的社会巨变而出现一样，一种新的家庭模式最终也将成型，以适应目前正在形成的后工业信息社会。与此同时，由于社会文化变革的推进，这一家庭制度也面临诸多问题。

There is little doubt that we are seeing a changed family institution. Just as the nuclear form followed the dramatic changes in society due to industrialization and urbanization, so a new form will eventually take shape in adaptation to the postindustrial information society that is currently in the making. In the meantime, a number of problems assail this institution resulting from the sociocultural changes in progress.

儿童保育

Child Care

对于夫妻双方都必须工作或愿意工作的有孩子的家庭来说，一个严重的问题是难以获得妥善的照顾。71% 的 18 岁以下子女的母亲都已加入劳动力大军，儿童保育问题已成严峻挑战。政府面临的援助压力与日俱增，因为如今，陷入困境的不再只是贫困家庭，中产阶级父母也同样如此。全国各地的情况都一样：日托难找，费用高昂，而且往往质量低劣，令人痛心。

A severe problem for couples with children in which both partners must work or want to work is the difficulty of obtaining proper care for the children. With 71 percent of mothers with children under 18 in the labor force, child care is a serious problem. There are increasing pressures for the government to help, for now it is no longer only the poor who are in a bind, but middle-class parents as well. Throughout the country, the picture is the same: day care is hard to find, difficult to afford, and frequently distressingly bad.

对于那些在托儿所的孩子来说，一个令人困惑的问题依然存在：由陌生人抚养孩子会对他们产生什么影响。最初，人们认为，孩子由陌生人照顾比母亲被迫待在家里工作更可取。人们认为，由于母亲无法在创造性活动中表达自我，甚至无法从事那些能赋予她们一定独立性或自尊心的琐碎工作，她们会把敌意发泄在孩子身上。这种说法或许没错，但最近的一项研究调查表明，在孩子出生后的第一年，过多的日托服务会增加他们日后出现情绪问题的风险。心理学家杰伊·贝尔斯基曾与他人合著了一份报告，认为日托服务对幼儿来说完全没问题，但他后来在一篇文章中改变了这一观点，指出在出生后的第一年，每周接受非母体照料超过20小时的婴儿，可能会对母亲产生“不安全依恋”。这些孩子在学龄前更容易变得不合作且具有攻击性（Wallis，1987，63）。这项研究也因此受到了批评。归根结底，我们仍然不知道哪种育儿方法最好，但我们可以推测，一位训练有素、收入丰厚的替代母亲在照顾孩子方面会和亲生母亲一样出色。

For those children who are in child care, there remains the perplexing question of what effect child rearing by strangers has on them. Initially, it was thought that it was preferable to have children cared for by strangers than to have mothers forced to stay at home when they would rather be at work. It was assumed that mothers, kept from expressing themselves in creative endeavors, or even in menial work that would give them a degree of independence or self-esteem, would take their hostility out on their children. This may very well be true, but a current survey of research suggests that extensive day care in the first year of life raises the risk of emotional problems in later life. Psychologist Jay Belsky, who had coauthored a report concluding that day care can be perfectly fine for young children, reversed himself later when he stated in an article that babies who spend more than 20 hours a week in non-maternal care during the first year of life risk having an “insecure attachment” to their mothers. These children are more likely to become uncooperative and aggressive in early school years (Wallis, 1987, 63). This work has been criticized in turn. The bottom line is that we still do not know which method of child care is best, but we can speculate that a well-trained and well-paid mother substitute will do as well as a biological mother in caring for children.

家庭暴力

Family Violence

家庭暴力事件或许并非仅限于当下。每当多人同住一个屋檐下，就会引发争执，在某些情况下，甚至会引发暴力冲突。此外，对暴力和残忍的定义也各不相同。例如，当女性被视为父亲或丈夫的个人财产时——许多社会都是如此，某些社会至今仍是如此——法律甚至允许主人对她们使用暴力也就不足为奇了。如今，某些父母的态度也被认为是残忍和暴力的，而在过去则并非如此。直到18世纪，在欧洲，儿童仍然经常被遗弃。据一位历史学家称，在意大利南部，被遗弃儿童的比例高达50%。父母在无力抚养子女、不愿抚养有身体缺陷的子女或不愿被子女打扰时，就会遗弃他们。当时的社会并没有对遗弃行为进行严厉的制裁（Boswell，1989）。

Incidents of family violence probably are not limited to the present. Whenever a number of persons live under one roof, the scene is set for disagreements and, under some conditions, for the flare-up of violence. In addition, definitions of what constitutes violence and cruelty differ. For instance, when women were considered the personal property of a father or a husband—as was the case in many societies and still is in some—it did not seem strange that even the law permitted the proprietor to use violence against them. And certain parental attitudes are also considered cruel and violent today, whereas in the past they were not. Children were regularly abandoned as late as the eighteenth century in Europe. According to one historian, in southern Italy the number of abandoned children was as high as 50 percent. Parents abandoned their offspring when they were unable to support them, were unwilling to keep them if they had physical defects, or did not want to be bothered with them. Societies did not have severe sanctions against abandonment (Boswell, 1989).

图片 12.4家庭暴力并非美好的景象。妇女和儿童是最常见的受害者。

IMAGE 12.4 Family violence is not a pretty picture. Women and children are the most frequent victims.

iStock：© svetikd

iStock: © svetikd

在当今社会，暴力受到普遍谴责，但它无疑是我们生活中，包括家庭生活中始终存在的一个因素。家庭暴力的统计数据不容乐观：根据卫生局局长的数据，家庭暴力是女性死亡的主要原因。每年约有200万女性遭受殴打，这使得殴打成为全国女性受伤的最大单一原因，其发生频率超过了车祸、抢劫和强奸的总和；28%的婚姻中存在某种形式的暴力；22%至35%寻求紧急治疗的女性是家庭暴力的受害者；每天，有超过三名女性被其丈夫或男友杀害（Gelles、Straus和Steinmetz，2006）。

In today’s societies, violence is universally condemned, but it is certainly an ever-present factor in our lives, including our family lives. The statistics on family violence are not encouraging: domestic violence is the leading cause of death among women, according to the Surgeon General. About 2 million women are battered every year, making battering the largest single cause of injury to women nationally, occurring more often than auto accidents, muggings, and rapes combined; some form of violence occurs in 28 percent of all marriages; 22 to 35 percent of women seeking emergency procedures are victims of domestic violence; every day, more than three women are murdered by their husbands or boyfriends (Gelles, Straus, & Steinmetz, 2006).

据估计，全球每三名女性中至少有一名在其一生中会遭受殴打、强奸或其他虐待，而且大多数情况下，施暴者是其家庭成员（Catalano，2007）。女性比男性更容易受到前任或现任伴侣的侵害：事实上，85%的女性是配偶虐待的受害者，86%的女性是男友暴力的受害者。此外，在已报告的家庭暴力类型中，性虐待是增长最快的类型。社会学家认为，美国人对家庭成员之间的暴力过于宽容，因为他们觉得家门后发生的事情与他人无关。参见：www.cdc.gov/violenceprention/nisvs/infographic/Nation。

Globally, it is estimated that at least one of every three women will be beaten, raped, or otherwise abused during her lifetime, and in most cases, by a member of her own family (Catalano, 2007). Women are more likely than men to be victimized by a former or current partner: in fact, 85 percent of women are victims of spouse abuse, and 86 percent of them are victims of violence by a boyfriend. Moreover, of the types of family violence that are reported, sexual abuse is the fastest-growing category. Sociologists maintain that Americans are far too tolerant of violence between family members because there is a feeling that what goes on behind the closed doors of a home is nobody’s business. See: www.cdc.gov/violenceprention/nisvs/infographic/Nation.

亲密伴侣一生中遭受身体暴力的发生率——美国女性和男性，NISVS 2010

Lifetime Prevalence of Physical Violence by an Intimate Partner—U.S. Women and Men, NISVS 2010

图 12.1

FIGURE 12.1

† 患病率差异具有统计学意义（p < .05）。美国疾病

控制与预防中心（CDC）报告“美国亲密伴侣暴力——2010” www.cdc.gov/violenceprevention/pdf/cdc_nisvs_ipv_report_2013_v17_single_a.pdf。

† Statistically significant difference (p < .05) in prevalence.

CDC Report “Intimate Partner Violence in the United States—2010” www.cdc.gov/violenceprevention/pdf/cdc_nisvs_ipv_report_2013_v17_single_a.pdf.

虐待儿童。虐待儿童指各种各样的虐待行为。除了性虐待和身体伤害外，还包括严重忽视儿童的情感和身体需求以及不断训斥儿童。研究结果表明，所有这些虐待行为的长期影响有许多共同之处。2005 年，遭受某种虐待的美国儿童数量为 899,000 人，受害率为每 1,000 名儿童中有 12.3 人受害。其中，62.8% 遭受忽视，近 16.6% 遭受身体虐待，9.3% 遭受性虐待，7.1% 遭受情感虐待。国家虐待和忽视儿童数据系统报告称，2002 年估计有 1,400 名儿童死亡（“儿童死亡”是指儿童因虐待或忽视造成的伤害而死亡）。此外，美国有 1,550 万儿童生活在过去一年中至少发生过一次伴侣暴力的家庭中。相关信息请参阅：www.cdc.gov/violenceprevention/vacs/index.html。

Child Abuse. Child abuse refers to a wide range of maltreatment. In addition to sexual abuse and physical harm, serious neglect of a child’s emotional and physical needs and incessant berating of a child are also included. Findings indicate that the long-lasting effects of all these kinds of abuse have much in common. In 2005, the number of American children subject to abuse of some kind was 899,000, which is a rate of victimization of 12.3 per 1,000 children. Of those, 62.8 percent suffered neglect, almost 16.6 percent suffered physical abuse, 9.3 percent were sexually abused, and 7.1 percent were emotionally maltreated. The National Child Abuse and Neglect Data System reported an estimated 1,400 child fatalities in 2002 (a “child fatality” is the death of a child caused by an injury resulting from abuse or neglect). In addition, 15.5 million children in the United States live in families where partner violence occurred at least once in the past year. See pertinent information at: www.cdc.gov/violenceprevention/vacs/index.html.

受害率最高的是0至3岁的儿童，因为这些儿童最脆弱——他们体格娇小，依赖他人，无法自卫。女童性虐待率高于男童。1岁以下儿童占死亡人数的41%，而4岁以下儿童占76%。然而，许多研究人员和从业人员认为，儿童死亡人数被低估了，尤其是因为各州对此类死亡原因的定义各不相同。2008年，仅一天就有16,458名儿童生活在家庭暴力庇护所或过渡性住房设施，而另外 6,500 名儿童正在寻求非住宿项目的服务。

The highest victimization rates occur in the zero to three years age group as these children are the most vulnerable—they are small and dependent and cannot defend themselves. Sexual abuse rates are higher for female children than for male children. Children younger than one year old accounted for 41 percent of the fatalities, whereas 76 percent were younger than four years old. However, many researchers and practitioners believe child fatalities are underreported, especially because states vary in their definitions of the causes of such fatalities. In one single day in 2008, 16,458 children were living in a domestic violence shelter or a transitional housing facility, while another 6,500 children were seeking services at a nonresidential program.

大量研究发现，童年时期遭受虐待的人成年后比未受虐待的人更加困扰；他们中绝大多数是妓女、暴力罪犯、酗酒者、吸毒者和精神病院患者。此外，虐待越严重，后期的精神症状就越严重。一项针对美国15名被判有罪的青少年杀人犯的研究发现，其中13人曾遭受过极端的身体或性虐待，其中一些被研究人员描述为“谋杀性的”（Goleman 1989，A1，A22）。

Numerous studies have found that those who were victims of child abuse are more troubled as adults than those who were not; they make up an overwhelming number of prostitutes, violent criminals, alcoholics, drug abusers, and patients in psychiatric hospitals. Moreover, the more severe the abuse, the more extreme are the later psychiatric symptoms. A study of 15 adolescent condemned murderers in the United States found that 13 had been victims of extreme physical or sexual abuse, some of it characterized as “murderous” by the researchers (Goleman 1989, A1, A22).

并非所有受虐儿童都会虐待自己的孩子。童年时期成为施虐父母的最强预测因素并非遭受过虐待，而是感到父母不爱自己、不想要自己，这种心态在不存在明显虐待的家庭中也同样存在。受虐儿童中，最终成为施虐者的一方与未受虐儿童之间的区别之一在于，他们是否意识到父母虐待他们是错误的。如果孩子逐渐相信父母不应该虐待他们，相信自己没有那么坏到应该受到虐待，他们仍然可以爱父母，并决定不再重复父母的行为。但如果孩子认为虐待是合理的，相信自己确实很坏，因此应该受到虐待，他们很可能会对自己的孩子重复这种虐待。

Not all abused children go on to abuse their own children. The strongest predicting factor from childhood of becoming an abusive parent was not having been abused as such but rather having felt unloved and unwanted by one’s parents, an attitude also found in families in which there is no overt abuse. One of the differences between the abused children who go on to become abusers and those who do not is whether they realize that their parents were wrong to abuse them. Children who come to believe that their parents should not have abused them, that they were not so bad that they deserved the abuse, can still love their parents and decide not to repeat the parents’ behavior. But children who believe that the abuse was justified, that they indeed were bad and, thus, deserving of abuse, are likely to repeat the abuse with their own children.

致命虐待儿童的施暴者并非符合任何单一特征。然而，许多研究指出了一些共同特征：施暴者往往是高中辍学的年轻男性，他们生活在贫困线或贫困线以下，患有抑郁症，难以应对压力环境，并且亲身经历过暴力。大多数身体虐待事件似乎都是由父亲和男性照顾者造成的；而母亲往往要为因忽视儿童而导致的死亡负责。关于虐待儿童的统计数据和事实可以在网上获取。

The perpetrators of fatal child abuse do not fit any single profile. Many studies have noted, however, certain common characteristics: perpetrators tend to be young male high school dropouts who live at or below the poverty level, suffer from depression, have difficulty coping with stressful situations, and have experienced violence firsthand. Most instances of physical abuse seem to be caused by fathers and male caretakers; mothers tend to be responsible for deaths resulting from child neglect. Statistics and facts about child abuse may be obtained online.

青少年怀孕

Teenage Pregnancy

一个并不新鲜但在二十世纪最后几十年却异常猖獗的现象是未婚先孕，尤其是青少年怀孕。自二十世纪八十年代中期以来，青少年怀孕率持续上升，并在1991年达到顶峰。与此同时，青少年性行为也大幅增加，他们坦言避孕措施非常松懈，这让家长和社会工作者感到担忧。当然，性行为对年轻人的危害远不止怀孕。研究表明，无保护措施的性行为导致性传播病毒——疱疹2型的感染率上升。此外，在无保护措施的性行为中，艾滋病的威胁依然不祥。

A phenomenon that is hardly new, but that attained high proportions in the last decades of the twentieth century, is that of out-of-wedlock, and particularly teenage, pregnancies. The teen pregnancy rate had risen steadily from the mid-1980s, reaching a peak in 1991. The rate was accompanied by a large increase in sexual activity among teenagers, who admitted to being very lax in the use of contraception, a situation that worried parents and social workers. Of course, the dangers of sex for young people are not limited to pregnancy. According to research, unprotected sex has led to increasing rates of infection with herpes 2, a sexually transmitted virus. Finally, the specter of AIDS still looms ominously in instances of unprotected sex.

自1997年以来，青少年怀孕率开始下降，2012年创下历史新低，每1000名15至19岁女性中仅有29.4人怀孕。所有种族和族裔群体的怀孕率均出现下降，但非拉丁裔黑人青少年的怀孕率下降幅度最大。下降的原因在于，年轻人推迟性生活时间、减少性生活频率以及更加负责任地采取避孕措施。

Beginning in 1997, the teen pregnancy rate had begun to decline, reaching a record low in 2012 of 29.4 pregnancies per 1,000 women aged 15 to 19 years old. The decline was noted in all racial and ethnic groups, although the greatest dip was for non-Hispanic black teenagers. The reasons for the decline were attributed to young people delaying sex until a later time, having sex less frequently, and using birth control more responsibly.

青少年怀孕对父母和孩子两代人来说都是个问题。青少年妈妈和其他有年幼子女的单身女性一样，生活在贫困线以下的可能性也一样大（18岁前生育的女性中，只有一半能完成高中学业）。她们也更有可能依赖社会福利：60%的30岁以下领取“抚养子女家庭援助”（AFDC）的女性在青少年时期就生下了第一个孩子。未婚妈妈领取社会福利的人数比离婚女性多，而且她们领取的时间更长，最终陷入了长期依赖社会福利的困境。40%的未婚妈妈领取社会福利十年或更长时间，而离婚妈妈只有14%。未婚妈妈的子女青少年往往患病率和死亡率较高，并且在以后的生活中会继承教育和情感问题。青少年父母的孩子更容易受到不成熟父母的虐待，不幸的是，他们往往会重复父母的经历：在十几岁就生育的女孩中，很大一部分是青少年母亲的女儿。

Teenage pregnancy is problematic for two generations, that of the parent and that of the child. Teen mothers are as likely as other single women with young children to live below the poverty level (only half of those who give birth before age 18 complete high school). They are also more likely to be dependent on welfare: 60 percent of females under 30 who receive Aid to Families with Dependent Children (AFDC) had their first child when they were teenagers. Never-married mothers go on welfare in greater numbers than divorced women, and they stay on longer, becoming trapped in long-term welfare dependency. Whereas 40 percent of never-married mothers stay on welfare for ten years or more, only 14 percent of divorced mothers do. The offspring of never-married mothers tend to experience high rates of illness and mortality and later in life are heirs to educational and emotional problems. Children of teenage parents are more likely to be abused by immature parents and unfortunately tend to repeat their parents’ experience: a high percentage of girls who give birth in their early teens are daughters of teenage mothers.

总结

In Sum

20世纪60年代，“家庭的消亡”成为一种时尚，批评者们抨击家庭制度已经彻底过时且功能失调。如今，尽管只有四分之一的人是“传统家庭”，但很难想象家庭会完全消失。家庭仍然是人们生活中的情感中心。它不断变化的事实恰恰说明了它的生命力。例如，除了前面讨论过的生活方式的多样性之外，据报道，随着年迈的父母、离异的子女和未婚的青少年都回归或留在父母的巢穴，家庭似乎正在变得更加庞大。人口结构的变化和医学的进步使得三代甚至四代同堂的家庭数量不断增加，他们往往生活在同一个家中。生活在这样的家中的经历或许并不一定是快乐的，但它却印证了诗人罗伯特·弗罗斯特对家庭的描述：当你无处可去时，家庭是唯一能接纳你的地方。

In the 1960s, it was fashionable to speak of the “death of the family” as critics assailed the institution for being hopelessly outmoded and dysfunctional. Today, although only one in four is “traditional,” it is difficult to conceive of the family as ceasing to exist entirely. The family continues to be the emotional center in people’s lives. The fact that it is in constant flux speaks for its vitality. For instance, in addition to the variety of lifestyles discussed earlier, it is being reported that the family seems to be growing more extended as elderly parents, divorced offspring, and unmarried teenagers all return to or remain in the parental nest. The demographic shifts and advances in medicine are increasing the number of three- and even four-generation families who often live in a single home. The experiences of living in such a home may not necessarily be joyous, but it brings out what poet Robert Frost said about the family: it is the one place where they have to take you in when you have nowhere else to go.

每个社会所孕育的文化都会成为每一代人行为的蓝图。文化中最重要的元素之一是制度，即习惯或传统的做事方式，最终会具体化为行为模式。制度围绕着对个人至关重要的人类需求而发展。最关键的人类制度是家庭、宗教、教育、经济和政府。

The culture that each society produces becomes a blueprint for the behavior of each new generation. Among the most important elements of culture are institutions, which are the habits, or traditional ways of doing things, which eventually crystallize into patterns of behavior. Institutions develop around human needs that are essential to the individual. The most pivotal human institutions are the family, religion, education, economy, and government.

家庭是所有社会制度中最古老的。在现代工业社会中，家庭的功能已被削弱，只剩下对性行为和生育的控制、对年轻人的社会化以及提供关爱和陪伴。

The family is the oldest of all societal institutions. The functions of the family in modern industrial societies have been reduced to control of sex and reproduction, socialization of the young, and provision of affection and companionship.

由于现代化，家庭的形式发生了变化。它变得更加核心化，更加平等，而婚姻形式则以一夫一妻制为主。虽然婚姻伴侣不像传统社会那样由父母选择，但即使在城市工业社会中，择偶也并非随机。它受到族内通婚（即与同一群体结婚）和同族通婚（即与具有相似特征的伴侣结婚）的影响。在大多数婚姻中，伴侣的种族、宗教和社会阶层相同，年龄、外貌、教育程度和居住地也相似。跨种族婚姻的稀少，与其说是因为偏见和歧视——尽管这些因素当然存在——不如说是因为族内通婚和同族通婚在我们的制度框架中根深蒂固。然而，情况正在发生变化，这类婚姻正变得越来越普遍。

The family has undergone changes in form as a result of modernization. It has become nuclear and more egalitarian, with the preferred form of marriage being monogamy. Although marriage partners are not chosen by parents, as they are in traditional societies, even in urban industrial societies mate selection is not random. It is influenced by endogamy, or marriage within one’s group, and homogamy, or marriage to partners with similar traits. In most marriages, the partners are of the same race, religion, and social class, as well as similar in age and physical appearance, education, and residence. Interracial marriages are infrequent not so much because of prejudice and discrimination—although these factors are of course present—but because endogamy and homogamy are so strongly embedded in our institutional framework. However, things are changing and such marriages are becoming increasingly common.

核心家庭比大家庭更适合城市工业社会的生活，因为它赋予成员更多追求向上社会流动的自由。然而，核心家庭与大家庭的支持系统隔绝，加上家庭内部情感的强烈，使其特别容易发生冲突。离婚和遗弃是冲突的两个显著后果，虐待儿童和虐待配偶也是如此。离婚也是性规范自由化和婚姻观念转变的必然结果。由于拥有许多伴侣的必要性，随着儿童数量的减少，婚姻的重心也逐渐转移，不再是“婚姻是每个人的责任，以充实社会”这一理念。越来越多的人为了感情和陪伴而结婚。

The nuclear form of family is better adapted to life in an urban industrial society than is the extended family because it allows members more freedom to pursue upward social mobility. Its isolation from the support system of an extended family and the intensity of the emotions within it, however, make it particularly susceptible to conflict. Divorce and desertion are two prominent results of conflict, as are child abuse and mate abuse. Divorce is also a corollary of liberalized sexual norms and of changing attitudes toward marriage. As the necessity for having many children declines, the focus of marriage shifts away from the idea that it is the duty of everyone to marry to replenish society. Increasingly, marriage is entered into for affection and companionship.

新的家庭形式不断涌现。例如，一些同性恋伴侣选择婚姻结合，有时还会生育子女，包括亲生子女（一方的），或领养子女。一些州已立法使此类结合与异性婚姻同等合法，最高法院预计将对此作出裁决。

New forms of the family keep appearing. For example, some homosexual couples choose to live in a marital union that sometimes includes children, biological (of one of the partners) or adopted. A number of states have introduced legislation to make such unions as legal as heterosexual marriages, and the Supreme Court is expected to decide on this notion.

在传统家庭生活的替代方案中，我们可以发现单亲家庭、混合家庭或重组家庭、小型、无子女或独生子女家庭，以及日益增多的多代家庭。家庭变迁带来的诸多问题包括：离异父母子女的适应困难、家庭暴力（包括虐待子女和配偶）的增多、夫妻双方都必须工作的家庭缺乏足够的儿童保育，以及青少年怀孕带来的种种问题。但这些变化和转变恰恰证明了家庭制度的持久性。

Among alternatives to traditional family life, one finds the single-parent family, the blended or reconstituted family, the small, childless, or one-child family, and, increasingly, the multiple-generations family. The problematic issues deriving from the changes in the family include difficulties in adjustment for children of divorced parents, an increase in family violence, including child and spouse abuse, the inadequacy of child care for families in which both spouses must work, and the problems involved in teenage pregnancies. But changes and transformations only testify that the family institution endures.

血亲： 大家庭的另一个术语。指父母与子女之间的亲属关系，即血缘关系。

consanguine Another term for the extended family. Also, the way parents are related to their children, that is, by blood ties.

大家庭： 一种家庭形式，由核心成员（夫妻双方及其子女）以及其他血亲及其配偶和子女组成。在前工业化社会中很常见。

extended family A form of the family consisting of the nucleus—two spouses and their children—and other blood relatives together with their marriage partners and children. Common in preindustrial societies.

乱伦禁忌 几乎普遍禁止母亲与儿子、父亲与女儿、姐妹与兄弟以及社会规定的其他亲属之间发生性关系。

incest taboo An almost universal prohibition of sexual relations between mother and son, father and daughter, sister and brother, and other relatives as specified by the society.

制度： 一种围绕人类核心需求发展起来的行为模式（文化复合体）。社会生活的蓝图。

institution A pattern of behavior (culture complex) that has developed around a central human need. A blueprint for living in society.

一夫一妻制 最常见的婚姻形式，由一名男子与一名女子结合而成。

monogamy The most common form of marriage, consisting of the union of one man with one woman.

核心家庭或夫妻 家庭由两个配偶及其子女组成，他们作为一个单位生活在一起。

nuclear or conjugal family A form of the family consisting of two spouses and their children living together as a unit.

家庭导向 对于孩子来说，家庭是他们成长的地方，也是引导他们适应社会生活的地方。

family of orientation To children, the family in which they are brought up and which orients them to life in society.

一夫多妻制 一种婚姻形式，其中多个配偶（妻子或丈夫）作为家庭单位同居。

polygamy A form of marriage in which multiple spouses—either wives or husbands— cohabit as family units.

生育家庭 对于父母来说，因为他们的关系取决于生育孩子。

family of procreation To parents, because their relationship depends on having produced children.

资源理论 认为，婚姻中的权力分配取决于每个配偶为婚姻带来的资源。

resource theory Maintains that the distribution of power in a marriage depends on the resources each spouse brings to the marriage.

Albrecht, Stan L. 1980. “对离婚的反应和调整：男性和女性经历的差异。” 《家庭关系》，1月，第59-68页。

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Parker-Pope, Tara. 2010. “The Science of a Happy Marriage.” The New York Times, May 11, pp. D1–D6.

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Roberts, Sam. 2007. “51% of Women Are Now Living Without Spouse.” The New York Times, January 16, p. A15.

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Stanley, SM、SW Whitton 和 HJ Markman。2004 年。“也许我愿意：人际承诺与婚前或非婚同居。” 《家庭问题杂志》 25：496–519。

Stanley, S. M., S. W. Whitton, and H. J. Markman. 2004. “Maybe I Do: Interpersonal Commitment and Premarital or Nonmarital Cohabitation.” Journal of Family Issues 25: 496–519.

Steinberg, Laurence 和 Susan Silverberg。1987 年。“家庭生命周期中期的婚姻满意度。” 《婚姻与家庭杂志》 49(4): 751–760。

Steinberg, Laurence, and Susan Silverberg. 1987. “Marital Satisfaction in Middle Stages of Family Life Cycle.” Journal of Marriage and the Family 49(4): 751–760.

Szinovacz, Maximiliane E. 1987. “家庭权力。”《婚姻与家庭手册》。纽约：Plenum，第 652-693 页。

Szinovacz, Maximiliane E. 1987. “Family Power.” In Handbook of Marriage and the Family. New York: Plenum, pp. 652–693.

沃勒斯坦，朱迪思。1989年。“离婚后的孩子。” 《纽约时报杂志》，1月22日，第19-44页。

Wallerstein, Judith. 1989. “Children after Divorce.” The New York Times Magazine, January 22, pp. 19–44.

Wallerstein, Judith S. 和 Joan B. Kelly。1983 年。“父母离婚的影响：孩子晚年的经历”。载于 Arlene S. Skolnick 和 Jerome H. Skolnick 编，《家庭转型》。波士顿：Little, Brown 出版社。

Wallerstein, Judith S., and Joan B. Kelly. 1983. “The Effects of Parental Divorce: Experiences of the Child in Later Years.” In Arlene S. Skolnick Jerome H. Skolnick, eds., Family in Transition. Boston: Little, Brown.

沃勒斯坦，朱迪思和桑德拉·布莱克斯利。1989。《第二次机会》。纽约：Ticknor & Fields。

Wallerstein, Judith, and Sandra Blakeslee. 1989. Second Chances. New York: Ticknor & Fields.

Wallis, Claudia。1987年。“日托对婴儿有害吗？”《时代》杂志，6月22日，第63页。

Wallis, Claudia. 1987. “Is Day Care Bad for Babies?” Time, June 22, p. 63.

Weishaus, Sylvia 和 Dorothy Field。1988 年。“半个世纪的婚姻：延续还是变革？”《婚姻与家庭杂志》第 50 期（8 月）：763–774 页。

Weishaus, Sylvia, and Dorothy Field. 1988. “A Half Century of Marriage: Continuity or Change?” Journal of Marriage and the Family 50 (August): 763–774.

Weitzman, Lenore J. 1985. 《离婚革命：对美国妇女和儿童的意外社会和经济后果》。纽约：自由出版社。

Weitzman, Lenore J. 1985. The Divorce Revolution: The Unexpected Social and Economic Consequences for Women and Children in America. New York: Free Press.

Pivotal Institutions: Religion and Education

Amato, Paul R.、Alan Booth、David R. Johnson 和 Stacy J. Rogers。2009。《独处：美国婚姻如何改变》。剑桥：哈佛大学出版社。作者认为，当代婚姻生活展现出伴侣之间日益疏离的现象。本书基于对美国婚姻质量的研究，全面考察了婚姻制度的变迁。

Amato, Paul R., Alan Booth, David R. Johnson, and Stacy J. Rogers. 2009. Alone Together: How Marriage in America is Changing. Cambridge: Harvard University Press. The authors maintain that contemporary marital life exhibits an increasing separateness between the partners. A comprehensive examination of the changes in the marriage institution based on studies of marital quality in America.

安德鲁·J·切尔林，2010年。《婚姻的循环：当今美国的婚姻与家庭状况》。纽约：Vintage出版社。一位专门研究家庭的社会学家分析了家庭生活的变化，并将美国家庭生活与其他工业社会的家庭生活进行了比较。他得出的结论是，尽管美国婚姻是最理想化的，但它却是最不稳定的。

Andrew J. Cherlin. 2010. The Marriage-Go-Round: The State of Marriage and the Family in America Today. New York: Vintage. A sociologist who specializes in family studies analyzes changes in family life and compares American family life with family life in other industrial societies. He concludes that American marriages are the most unstable, even though they are the most idealized.

Coontz, Stephanie。2005。《婚姻：一部历史》。企鹅出版社，重印版，2006年2月28日。传统婚姻正面临危机，了解它在过去的历史时期是如何发展的，是一件值得关注的事情。

Coontz, Stephanie. 2005. Marriage: A History. Penguin Books, Reprint Edition, February 28, 2006. Traditional marriage is in crisis, and it is interesting to find out how it fared in past historical eras.

亚隆，玛丽莲。2001年。《妻子的历史》。哈珀出版社，重印版，2002年2月5日。从希伯来人到希腊人、罗马人，直至二十世纪，妻子在历史上有着无数种表现形式。

Yalom, Marilyn. 2001. A History of the Wife. Harper Perennial, Reprint Edition, February 5, 2002. From the Hebrews, though the Greeks, and Romans, and finally to the twentieth century, the myriad manifestations of the wife in history.

（另请参阅：国家虐待和忽视儿童信息中心，2004 年；儿童和家庭管理局，2007 年，家庭暴力统计数据，2012 年；家庭暴力预防基金，2009 年；statisticbrain.com/domestic-violence-abuse-stats 2013。）

(See also: National Clearinghouse on Child Abuse and Neglect, 2004; Administration for Children and Families, 2007, Domestic Violence Statistics 2012; Family Violence Prevention Fund, 2009; statisticbrain.com/domestic-violence-abuse-stats 2013.)

在本章中，你将学习

IN THIS CHAPTER, YOU WILL LEARN

• 宗教机构出现的原因；

• the reasons for the emergence of the institution of religion;

• 如何从社会科学的角度看待宗教；

• how religion is viewed from the perspective of the social sciences;

• 宗教在社会中的作用；

• the functions of religion in society;

• 美国宗教的特点；

• the characteristics of religion in America;

• 当代宗教的趋势；

• the trends in contemporary religion;

• 教育的定义和特征；

• the definition and characteristics of education;

• 关于教育在社会阶层、种族和民族方面的作用；

• about the role of education relative to social class, race, and ethnicity;

美国教育危机的性质；以及

• the nature of the crisis of American education; and

• 关于高等教育的现状。

• about the status of higher education.

一个宗教或许是继家庭之后第二古老的制度，它是一种普遍存在的制度，存在于我们所知的所有社会中。在一些社会中，人们点燃蜡烛祈求祈祷被听到，或进行仪式舞蹈。在另一些社会中，人们跪在雕像或画像前；还有一些人仍然将额头朝向麦加方向触地。有些人用头巾遮住头部以示尊重；另一些人出于同样的原因不戴头巾。有些人在礼拜时吟唱并摇摆；有些人偶尔坐着跪下。有些人试图通过道德生活和行善来确保自身持续的生存和繁荣，有些人则通过牺牲动物的生命来获取利益。尽管仪式可能以不同的方式进行，但本质上，它们表达了人类相同的渴望和需求，即确定生命的源泉、目的和意义，以及死亡的终极本质。 “死亡的证据在我们周围随处可见，我们被驱使着去判断超越现实是恶意的、良性的，还是仅仅是中性的”（McCready & Greeley，1976，23）。超越现实是超越人类感知的现实。因此，宗教的一个定义是，它是一种与人类生命“超越”相关的活动。简而言之，宗教试图通过创造神圣性来超越日常生活的常规。

A fter the family, religion probably ranks as the second-1oldest institution, a universal institution that has been present in all societies we know about. In some societies, people light candles to have their prayers heard or perform ritual dances. In others, people kneel in front of a statue or a painting; others still touch the floor with their foreheads in the direction of Mecca. Some cover their heads as a sign of respect; others keep their heads uncovered for the same reason. Some chant and sway while worshipping; others sit and kneel occasionally. Some attempt to ensure their continued survival and prosperity by a moral life and good deeds, others by sacrificing the lives of animals. As differently as the rituals may be performed, at bottom they are the expression of the same human yearning and need, namely, to determine the source of life, its purpose and meaning, and the ultimate nature of mortality. “The evidence of mortality is all around us, and we are driven to determine if transcendent reality is malicious, benign, or simply neutral” (McCready & Greeley, 1976, 23). Transcendent reality is the reality that lies beyond human perception. Thus, one definition of religion is that it is an activity that relates to the “beyond” of human life. In short, religion attempts to transcend the routine of everyday life through the creation of sacredness.

宗教兴起的原因显而易见：人生处处充满不确定性，苦难与死亡无处不在，人们不知自己如何来到世上，也不知死后将何去何从。这种不确定性不仅激发了人们的好奇心，也促使人们试图理解人类的处境，渴望探寻人生的意义，并甘愿接受那些看似不公的境况和事件。世界各地的人们试图通过设计仪式和礼仪来超越现实，以此作为与日常经验之外的力量沟通的方式。

The reason for the emergence of religion is obvious: life everywhere is uncertain, there is much suffering and death, and people do not know how they came to inhabit the earth or what happens to them after death. This uncertainty not only has stimulated curiosity, but also attempts to gain an understanding of human circumstances, a desire to know whether human life has a purpose, and the resignation to accept conditions and events that seem unjust. People everywhere have attempted to transcend reality by devising rites and rituals to act as ways of communicating with forces outside everyday experience.

由于其普遍性和持久性，宗教一直是前辈社会科学家和其他哲学家们关注的焦点。它是最古老的研究课题之一。另一方面，当科学家谈论宗教时，人们并不信任他们，而更倾向于神学家和传教士对神圣事物的诠释。鉴于人们普遍认为宗教是神启，只需信仰即可，因此这种不信任感是可以理解的。社会科学家并不试图评估宗教或任何特定宗教的有效性。他们仅仅研究宗教对个人、群体和社会的明确影响。社会科学家将宗教视为文化的一部分，因此也将其视为社会产物。

Because of its universality and its durability, religion has been the object of much interest on the part of social scientists and other philosophers before them. It is one of the oldest subjects of inquiry. On the other hand, people distrust scientists when they speak out on religion, preferring the interpretation of the sacred offered by theologians and preachers. This is understandable in view of the fact that religion is widely believed to be a matter of divine revelation in which it is only necessary to have faith. Social scientists do not attempt to assess the validity of religion or of any particular religion. They merely study the clear and definite influences of religion on individuals, groups, and societies. It is as a part of culture and, therefore, as a social product, that social scientists analyze religion.

世界各大宗教

The Great Religions of the World

宗教的普遍性体现了人类对精神层面的追求，而这种精神层面在日常生活中似乎有所缺失。然而，不同社会对超越现实的需求表达方式各不相同。具体而言，每个社会都会强调其文化中那些他们认为重要的方面。宗教反映了这些重要因素。在过去，父权制根深蒂固的社会倾向于崇拜男性神祇；农业社会则崇拜生育之神，通常是女性；而好战的社会则尊崇复仇之神。此外，在遥远的古代，人们依靠狩猎采集和原始农业为生，每个家庭都自行负责宗教崇拜和仪式，无需祭司等中介。每个家庭都有自己的神祇，其使命是保护和造福家庭。神祇与崇拜者之间的关系反映了个人与家庭或部落的关系（神祇被视为守护神，在游牧社会中则被视为善良的牧羊人）。

The universality of religion testifies to the human quest for a spiritual facet that seems to be lacking in everyday life. Societies, however, express the need to transcend reality differently. In particular, each society emphasizes the aspects of its culture that it deems important. Religion reflects those important elements. In the past, a society that was strongly patriarchal tended to worship male deities; agricultural societies worshipped gods of fertility, frequently female; warlike societies revered vengeful gods. In addition, in societies of the distant past in which livelihood depended on hunting and gathering and primitive agriculture, each family took care of religious worship and rituals, without any intermediaries such as priests. Each family had its own deities, whose purpose was to protect and benefit it. The relationship between deity and worshipper mirrored the relationship of the individual to family or tribe (the deity was seen as the protective father or, in a herding society, as the good shepherd).

世界各地发展出各种各样的宗教。如今，世界宗教可分为（1）一神论、（2）多神论、（3）伦理论和（4）祖先论。一神论，即信仰一个神，包括基督教、犹太教、伊斯兰教和琐罗亚斯德教。其中，基督教信徒最多，超过20亿，占世界人口的三分之一。基督教又分为三个主要派别：罗马天主教、新教和东正教，他们都相信上帝是世界的创造者，耶稣基督是世界的救主。

A vast variety of religions developed throughout the world. Today, the world’s religions may be categorized into (1) monotheistic, (2) polytheistic, (3) ethical, and (4) ancestral. Monotheism, or belief in one god, includes Christianity, Judaism, Islam, and Zoroastrianism. Of these, Christianity has the largest number of adherents, more than 2 billion, or one-third of the world’s people. In turn, Christianity is divided into three principal groups, Roman Catholic, Protestant, and Eastern Orthodox, who share a belief in God as the creator of the world and in Jesus Christ as the world’s savior.

就信徒数量而言，伊斯兰教是世界第二大宗教。超过10亿穆斯林信奉先知穆罕默德的教义，穆罕默德于公元7世纪创立了伊斯兰教。伊斯兰教强调信徒完全顺服真主（上帝）的旨意，真主是世界的创造者、维系者和重建者。

In terms of number of followers, Islam is the second-largest religion in the world. More than 1 billion Muslims accept the teachings of the Prophet Muhammad, who established the religion in the seventh century AD. The religion stresses the total surrender of the faithful to the will of Allah (God), who is the creator, sustainer, and restorer of the world.

犹太教是基督教的发源地，拥有近1500万信徒。犹太教是最古老的一神教，其核心是旧约中的上帝耶和华，据说他选择了以色列人来证明他的存在。

Judaism, from which Christianity evolved, has almost 15 million followers. Judaism is the oldest monotheistic religion and centers on Yahweh, the Old Testament God, who is said to have chosen the people of Israel to testify to His existence.

琐罗亚斯德教也是一种前基督教宗教，大约有 25 万信徒（但根据其他资料，有 270 万），主要分布在印度，信奉全能的神，暂时陷入了与邪恶的持续斗争。美国中央情报局《世界概况》提供的饼状图显示了世界各主要宗教信徒的百分比。

Zoroastrianism is also a pre-Christian religion and is followed by approximately a quarter of a million faithful (but according to other sources by 2.7 million), mainly in India, who worship an all-powerful God engaged temporarily in a continuing battle with evil. The pie-chart provided by the CIA Factbook shows the percentages of adherents to the major religions of the world.

图片 13.1伊斯兰教是世界第二大宗教。近年来，伊斯兰教的地位日益提升，因为大量穆斯林移民到西方社会，并希望在此前以基督教为主的国家践行自己的宗教信仰。此外，一小部分狂热的穆斯林想要对他们所谓的“异教徒”或非穆斯林发动圣战。

IMAGE 13.1 Islam is the second largest religion in the world. It has lately grown in prominence because large numbers of Muslims have immigrated to Western societies and want to practice their religion in previously predominantly Christian nations. In addition, a fanatical minority of Muslims wants to wage a holy war against what they call the “infidels” or non-Muslims.

iStock：© afby71

iStock: © afby71

世界宗教占比

Religions of the World by Percentage

图 13.1

FIGURE 13.1

2010 年估计。

信息来自美国中央情报局 2010 年概况：世界宗教百分比www.cia.gov/library/publications/resources/the-world-factbook/geos/xx.html。

2010 est.

Information from CIA Factbook 2010: World Religions by percentage www.cia.gov/library/publications/resources/the-world-factbook/geos/xx.html.

多神教，即信仰众多神祇的教派，最典型的代表是印度教。印度教徒约有9亿，大多数居住在印度和巴基斯坦，但也有一些居住在南部非洲和印度尼西亚。他们信奉等级森严的神祇，从地区神祇到代表不同种姓群体的神祇。

Polytheism, or a belief in many gods, is most prominently represented by Hinduism. Most Hindus—there are approximately 900 million of them—live in India and Pakistan, but also in southern Africa and Indonesia, and believe in a hierarchy of gods, from regional deities to those representing caste groupings.

伦理宗教则侧重于截然不同的理念，这些宗教包括佛教、儒教、神道教和道教。这些宗教并不推崇人格化的神，而是围绕着一套定义宇宙秩序的原则。信奉这些原则的信徒遵循伦理道德生活，力求在个人生活和共同的社会生活中实现和谐。神道教也包含对祖先的崇拜，并带有强烈的民族主义色彩。作为神道教的主要信徒，日本人自二战以来一直试图淡化这种民族主义色彩。这些宗教的信徒总数超过10亿，主要分布在中国（儒教、道教）、印度（佛教）和日本（神道教）。

An altogether different emphasis is found in the ethical religions, which include Buddhism, Confucianism, Shintoism, and Taoism. Not concerned with a personalized god, these religions revolve around a set of principles that define the order of the universe. Followers who lead an ethical life as prescribed by these principles seek to achieve harmony in both their personal lives and the commonly shared social life. Shintoism also includes the worship of one’s ancestors and has a strongly nationalistic aspect, which the Japanese, who are the main adherents of this religion, have tried to minimize since World War II. Together, these religions have more than 1 billion adherents, residing mainly in China (Confucianism, Taoism), India (Buddhism), and Japan (Shintoism).

尽管只有少数人信奉这些宗教，但一些可称为原始宗教的残余仍然存在。其中包括万物有灵论，即相信神灵或有生命的存在（灵魂），它们存在并为人类服务。这些神灵可以依附于人、动物或无生命物体（通常是河流、树木或山脉）或化身为它们。人们对神灵的崇拜方式与对神的崇拜不同。有时，人们需要通过特殊的仪式来安抚神灵，通过魔法来影响人类命运，或在危难之时向神灵求助。一种被称为萨满教的万物有灵论在北美和南美的部落民族中很常见。另一种万物有灵论形式——图腾崇拜——在澳大利亚和一些太平洋岛屿的原住民中很流行。图腾崇拜是一种相信超自然力量（由周围环境中的物体（例如植物或动物）所代表）引导人类生存的信仰。人们通过既定的仪式来崇拜和敬仰这些物体。图腾崇拜的一个例子是美拉尼西亚人相信玛那是一种神圣的力量，赋予人或物，可用于善恶。在我们当中，那些在重要事件前触摸过“幸运符”（例如兔子脚）的人，或许也能找到图腾崇拜的影子。

Although they are practiced by only a scattered few, remnants of what may be called primitive religions still remain. Among these is animism, a belief in spirits or animate beings (souls) who exist and are active on people’s behalf. These spirits can attach themselves to, or acquire the form of, people, animals, or inanimate objects (mostly rivers, trees, or mountains). Spirits are not worshipped in the same way as gods are. They must sometimes be appeased through special rituals, influenced to act favorably to human destiny by magic, or called on for help in times of distress. A type of animism called shamanism is common among tribal people in North and South America. Another form of animism, totemism, is popular among native peoples of Australia and some Pacific islands. Totemism is the belief that supernatural forces, represented by objects in the immediate environment (such as plants or animals), direct human existence. These objects are worshipped and venerated through established rituals. One example of totemism is found in the Melanesian belief in mana as a sacred power that is attributed to people or things and that can be used for good or bad purposes. Echoes of totemism may be found among those of us who have touched a “lucky” charm—such as a rabbit’s foot—before an important event.

社会科学中的宗教

Religion in the Social Sciences

当社会科学家最初将注意力集中在宗教上时，普遍的观点认为宗教是原始人解释现实的一种尝试。这些社会科学家认为，宗教最终将被科学取代。其他社会思想家则试图用对灵魂概念的普遍关注来解释宗教，这种概念源于原始人对梦境和死亡的错误解读。简而言之，宗教被视为人类对世界一无所知的时代的遗物。

When social scientists first focused their attention on religion, the common opinion was that religion was an attempt by primitive people to explain reality. Eventually, these social scientists maintained, religion would be replaced by science. Other social thinkers sought to explain religion in terms of a universal concern with the idea of soul, which originated among primitive people from a mistaken interpretation of dreams and death. Religion, in short, was viewed as a relic of times when humans lived in a state of ignorance about their world.

宗教作为社会融合

Religion as Social Integration

另一种宗教观点认为，宗教探讨的是神圣而非世俗（Durkheim, 1912/1947, 209）。神圣与日常经验无关；它是生活中不寻常、无法解释、神秘而强大的面向，因此值得敬畏和尊重。而世俗则涵盖日常生活中常见的、可解释的、重复的事物和事件。原始人人类意识到一种比自身更强大的力量，一种必须服从并依赖其生存的力量——但他们不知道这种力量是什么，也不知道它从何而来。因此，他们创造了神灵的概念，认为神灵拥有超自然的力量，能够掌控人类。他们还发明了各种仪式，希望能安抚这些神灵，使它们对人类产生善意。从这个角度来看，宗教信仰和实践所针对的是一个非常现实的对象——人类社会——而宗教是人类团结的一种表达，是承认个体对社会体系及其内部关系网的认知。最后，承认个体依赖于社会，尽管社会价值观和传统可能会对个体造成压迫。

An alternative view of religion saw it as dealing with the sacred as opposed to the profane (Durkheim, 1912/1947, 209). The sacred is separate from everyday experience; it is the unusual, unexplainable, mysterious, and powerful facet of life, and it, therefore, deserves reverence and respect. The profane, on the other hand, includes the objects and events of everyday life that are usual, explainable, and repetitive. Primitive people were aware of a force greater than themselves, a force that had to be obeyed and on which they depended for survival—but they did not know what that force was or where it came from. Therefore, they invented the concept of deities (gods), who have supernatural power and control over humans. And they also invented rituals that they hoped would appease these deities and make them well disposed toward humans. Religious beliefs and practices, in this view, deal with a very real object—human society—and religion is an expression of human solidarity, the recognition that the individual is aware of the social system and the web of relationships occurring within it. Finally, the acknowledgement that individuals depend on society, despite the fact that societal values and traditions may be felt as repressive by individuals.

该理论还推测，宗教观念，尤其是宗教仪式，是在集体行为的情境中发展而来的，最终，氏族的神祇或图腾代表着氏族本身。通过崇拜图腾，氏族成员认识到氏族的力量高于他们作为个体的力量。图腾的法律因此成为氏族最重要的法律。如此一来，宗教就成为维系社会不同元素的粘合剂，通过建立行为的秩序和最终理由。宗教的这种功能被称为社会整合功能，因为宗教将不同的个体团结成一个统一的道德共同体。

The theory also speculates that religious concepts, and particularly religious rituals, evolved in a situation of collective behavior, and finally, that a clan’s god, or totem, represented the clan itself. In worshipping the totem, the members of the clan recognized that the power of the clan was superior to their power as individuals. The laws of the totem then became the most important laws of the clan. In this manner, religion became the cement that held together different elements of a society by establishing an order for doing things and ultimate reasons for doing them. This function of religion is called the function of social integration, in that religion unites distinct individuals into a unified moral community.

功能主义的宗教观

A Functionalist View of Religion

前述洞见为当代社会科学家提供了一个框架，他们推测宗教之所以存在于所有社会，是因为它对个人发挥着重要作用。根据功能主义的解释，社会中的个人有两个基本需求。一是适应、掌控和控制物质环境以求生存的需求。二是表达情感、回应事物和他人感受的需求，以及与他人建立关系的需求。最后一个需求被称为表达性需求，已被发现对人类至关重要。宗教能够满足这些重要需求。它之所以能够做到这一点，是因为它超越了人类在自然环境中的普遍经验，而这种超越日常经验的需求之所以存在并被感知，是因为人类生存状况的某些特征，例如偶然性、无力感和匮乏性（O'Dea，1966）。因此，在功能主义的观点中，宗教作为一种机制，通过超越日常经验，并通过崇拜仪式与神圣建立联系，帮助人们适应这些令人沮丧但不可避免的生存事实。

The preceding insights provided a framework for contemporary social scientists who conjecture that religion has existed in all societies because of the important functions it performs for individuals. In the functionalist interpretation, the individual in society has two fundamental needs. One is the need to adapt, master, and control the physical environment to survive. The other is the need to express one’s feelings, to respond to objects and to the feelings of others, and finally, to enter into relationships with others. This last need, called the expressive need, has been found to be of crucial importance to humans. Religion has the capacity to fulfill these important needs. It does so because it transcends the common experience of human beings in their natural environment, and the need to transcend everyday experience exists and makes itself felt because of certain characteristics of the human condition, such as contingency, powerlessness, and scarcity (O’Dea, 1966). In the functionalist view, then, religion acts as a mechanism that helps people adjust to these frustrating but inevitable facts of existence by reaching beyond ordinary experience and establishing a link with the sacred through the ritual of worship.

宗教除了前面所讨论的社会整合功能外，还发挥以下功能：

In addition to the function of social integration discussed earlier, religion performs the following functions:

1. 它帮助个人缓解对安全和身份的疑虑。在社会快速变革、身份问题普遍存在的时代，这一功能尤为重要。

1. It helps individuals ease doubts about security and identity. This function is particularly important in times of rapid social change, in which problems of identity are common.

2. 它澄清了物质世界，使其变得易于理解、熟悉且有意义。在传授信仰和价值观时，它为个人提供了社会规范体系的参考点：它强化了社会中善与恶的界限。

2. It clarifies the physical world, making it understandable, familiar, and meaningful. In teaching beliefs and values, it offers individuals a point of reference to the society’s normative system: it reinforces what is considered good and what is considered evil in the society.

3. 它通过将社会规范和价值观转化为神圣的法律来支持它们。由于社会化从来都不是完美的，因此经常出现违反社会规范的情况。然而，尽管人们可能会违反社会规则，但如果他们是信徒，他们就不容易违反神圣规则。从这个意义上说，宗教强化了社会的社会控制体系。

3. It supports societal norms and values by transforming them into divine laws. Because socialization is never perfect, deviance from societal norms is frequent. But whereas people may break societal rules, if they are believers, they break divine rules less easily. In this sense, religion reinforces the society’s system of social control.

4. 它帮助人们面对人生的关键阶段——步入成年、结婚、生子等等。宗教帮助人们接受通过人生过渡仪式（rites of passage）强加于他们的新角色，这些仪式是围绕某些关键时期建立起来的：出生、青春期、结婚和死亡。这些仪式（葬礼、婚礼、圣餐、坚振礼、成人礼等等）有助于化解迈向人生新阶段时产生的一些紧张情绪。

4. It helps individuals face life at critical stages—entering adulthood, marriage, the birth of children, and so on. Religion helps people accept the new roles forced on them through rites of passage, or the rituals that have been established around certain critical times: birth, puberty, marriage, and death. These rites (funerals, weddings, communion, confirmation, bar and bat mitzvah, etc.) help to dissolve some of the tensions surrounding the approach to a new stage of life.

5. 它帮助人们处理因过犯而产生的愧疚感，提供一条回归建设性生活的道路。宗教，凭借宗教团体成员与上位神之间的联系所带来的特殊力量感，能够减轻人们的愧疚感，使他们能够重新开始新的生活。

5. It helps people deal with guilt for their transgressions, offering a way back to a constructive life. Religion, by virtue of the special feeling of power that members of a religious group derive from their relationship with a superior being, has the capacity to relieve people’s guilt, enabling them to start over again on a new course.

宗教冲突观

A Conflict View of Religion

历史似乎充斥着新教徒与天主教徒、穆斯林与犹太人、巴基斯坦及其他亚非国家的穆斯林与印度教徒或基督徒之间的冲突，甚至穆斯林内部也分裂为什叶派和逊尼派，彼此敌对。此外，所谓的圣战分子，即原教旨主义穆斯林，似乎有意针对西方及其宗教实施恐怖主义行为。这些冲突阻碍了许多国家实现和平，也使许多年轻人无法成长。冲突理论家，其中最著名的是卡尔·马克思，已经解释了宗教的这一负面作用。

History seems to be a narrative of conflicts between Protestants and Catholics, Muslims and Jews, Muslims and Hindus or Christians in Pakistan and other Asian and African nations, and even Muslims, divided into Shia and Sunni, are hostile to one another. In addition, the so-called Jihadists, or fundamentalist Muslims, seem intent on committing terrorist acts against the West and its religions. These conflicts keep many nations from achieving peace and many young people from achieving adulthood. Conflict theorists, among whom the most noted was Karl Marx, have explained this negative aspect of religion.

马克思认为宗教是一种意识形态，它仅仅掩盖了统治阶级的真正利益，并充当了压迫下层阶级的工具（马克思和恩格斯，1964）。马克思的这一结论源于神学家路德维希·费尔巴哈的思想。费尔巴哈推测上帝是人类想象力和创造力的产物。人们赋予上帝所有最高尚、最优秀的品质，以便它成为人们追求的理想。然而，最终人们忘记了他们创造了上帝，开始敬畏上帝，崇拜上帝以确保上帝的善意。马克思坚持认为，生活在对自己所创造之物的恐惧中是一种极其疏离的体验。他的意思是，人们在这个世界上感到“陌生”或陌生。他们认为宗教是敌对的，因为他们失去了对宗教的控制。在马克思看来，宗教在个人和社会层面都产生了异化。它不仅造成了神职人员和普通民众之间、不同宗教信徒之间的冲突，而且被经济和政治上占主导地位的阶级用来为不公正和不平等的存在辩护。它维持了现状，因为它压抑了被剥削的下层阶级的愤怒，并提供了来世的回报。这就是为什么在马克思看来，宗教是人民的“鸦片”：它承诺人民死后永生，而不是享受今生，使他们变得消极，满足于他们在地球上的悲惨命运。

Marx perceived religion to be an ideology that merely masked the real interests of the ruling classes and served as a tool to keep the lower classes oppressed (Marx & Engels, 1964). Marx arrived at this conclusion from the ideas of theologian Ludwig Feuerbach. Feuerbach speculated that God was a figment of human imagination and creativity. People invested this creation with all the noblest and most excellent traits so that it might serve as an ideal to which they could aspire. However, eventually people forgot that they had created God and began to stand in awe of Him, worshipping Him to ensure His goodwill. Living in fear of something they themselves created, Marx insisted, was a profoundly alienating experience. He meant that people felt “alien” or strange in a world they perceived as hostile because they had lost control over it. Religion, in Marx’s view, became alienating both on a personal and on a social level. It not only created conflicts between the clergy and the lay population, and between people of different religions, but it also was used by the economically and politically dominant classes to justify the existence of injustice and inequality. It maintained the status quo because it repressed the anger of the exploited lower classes and offered future rewards in an afterlife. That is why religion, in Marx’s view, was the “opiate” of the people: it makes them passive and satisfied with their miserable lot on earth by promises of immortality after death, instead of a rightful share in the present life.

图片 13.2每种宗教都会发展出一些仪式，作为处理神圣事物的方法。在犹太教中，男孩或女孩年满 13 岁时，要接受成人礼 (bar mitzvah)，这是一种成年仪式，表明他们已成年。

IMAGE 13.2 Every religion develops rituals that are methods of dealing with the sacred. In the Jewish religion, when a boy or girl reaches the age of 13 they undergo a bar or bat mitzvah, a rite of passage that indicates that they have reached manhood or womanhood.

iStock：© 3bugsmom

iStock: © 3bugsmom

马克思关于宗教的某些观点是正确的。如果宗教支持社会规范和价值观，那么它也支持现状。因此，宗教是一种反对变革的保守力量。宗教差异引发冲突的例子不胜枚举。然而，宗教也能带来积极的社会变革，而这一点马克思未能认识到。许多例子都表明，一些信徒的牺牲改善了被压迫者的命运。解放神学就是一个例子，它源于20世纪60年代盛行的理想主义。解放神学融合了基督教原则和马克思主义性质的政治行动主义，并被拉丁美洲的天主教会所采纳。（尽管解放神学的信徒认为世界穷人的悲惨遭遇与基督教道德相悖，但教皇约翰·保罗二世曾谴责解放神学，声称政治激进主义有损基督教对超凡脱俗的关怀，政治争议对天主教有害。）至于美国，宗教价值观在废除奴隶制和通过民权法案方面无疑发挥了重要作用。简而言之，尽管宗教往往反映一个社会的阶级制度，是其中的一股保守力量，但它也可能成为彻底社会变革的动力。

Marx was right on some points regarding religion. If religion supports the norms and values of society, then it also supports the status quo. It is, therefore, a conservative force opposed to change. There is no shortage of examples of conflict caused by religious differences. However, religion also brings about positive social change, which Marx failed to recognize. There are numerous examples of how the sacrifice of some of the faithful improves the lot of the oppressed. One example was that of liberation theology, which developed from the idealism prevalent in the 1960s. This was a fusion of Christian principles and political activism of a Marxist nature, which the Catholic Church had adopted in Latin America. (Although its adherents maintain that the tragic suffering of the world’s poor is antithetical to Christian morality, Pope John Paul II had condemned liberation theology, claiming that political activism detracts from the otherworldly concerns of Christianity and that political controversy is detrimental to Catholicism.) As for the United States, there is no doubt that religious values have played an important part in abolishing slavery and in passing civil rights legislation. In short, although religion tends to be a reflection of the class system of a society, and a conservative force in it, it can also be the impetus for radical social change.

宗教与社会控制

Religion and Social Control

在社会科学家看来，宗教还有其他功能。马克斯·韦伯指出，宗教世界观常常成为社会秩序赖以建立的世俗原则。“人人生而平等”的民主原则，正是“人人都是上帝创造物”这一宗教信仰的体现。韦伯（1905）在《新教伦理与资本主义精神》一书中，通过推测宗教观念有时会导致社会变革，驳斥了马克思的经济决定论。韦伯运用比较方法，得出结论：西方资本主义兴起的原因似乎是新教改革，其新价值观——勤奋、自律和勤奋——成为通往世俗繁荣的途径。这些价值观后来被称为新教工作伦理，这种态度至今仍在我们的思想中占据重要地位。根据这种伦理，积累财富的动力源于真正的宗教冲动，而非贪婪。最终，这些最初的宗教观念影响了人们的所有活动，包括经济活动。韦伯补充道，这些宗教观念也影响了社会控制。新教意识形态通过为富人在社会中行使的权力辩护，助长并怂恿了阶层分化的制度，而这种制度当然建立在不平等的基础之上。甚至在新教兴起之前，统治王朝就自称源于神权，君主制则声称其统治源于神权。

Religion has other functions in the view of social scientists. Max Weber pointed out that the religious worldview often becomes the secular principle on which social orders are based. The democratic principle that all people are created equal is a reflection of the religious belief that all people are God’s creatures. In The Protestant Ethic and the Spirit of Capitalism, Weber (1905) refuted Marx’s theory of economic determinism by speculating that sometimes religious ideas caused social change. Using a comparative methodology, Weber concluded that the reason for the emergence of Western capitalism seemed to have been the Protestant Reformation, with its new values of hard work, discipline, and industriousness that acted as avenues to worldly prosperity. These values came to be known as the Protestant work ethic, an attitude that maintains a strong hold on our thinking even today. According to this ethic, the drive to accumulate wealth was based on a genuine religious impulse, not on greed. Eventually, these originally religious ideas influenced all people’s activities, including the economic ones. Weber added that these same religious ideas affected social control as well. Protestant ideology, by justifying the power that the wealthy exercised in society, aided and abetted the system of stratification, which of course is based on inequality. Even before the rise of Protestantism, ruling dynasties described themselves as being of divine origin, and monarchies alleged that they reigned by virtue of divine right.

韦伯的著作意义非凡，因为它表明，宗教根据各自文化的态度所创造的世界观，具有深远的社会影响。因此，新教，尤其是加尔文教，对现实的定义是：无意中刺激并从根本上改变了现有的经济结构。宗教观念有时不仅能推动社会变革，而且也是社会控制的有力特征。

Weber’s work is significant in its implications that a worldview, created by religion according to the attitudes of each culture, has far-reaching social consequences. Thus Protestantism, and especially Calvinism, defined reality in such a way that it unintentionally stimulated and radically altered existing economic structures. Not only are religious ideas sometimes responsible for social change, then, but they are also powerful features of social control.

制度背景

The Institutional Context

许多宗教起源于一位魅力非凡的领袖的个人经历，他自称是神灵的代言人。然而，即使是最具魅力的领袖的去世，也使得早期参与者的宗教体验制度化成为必要。这种制度化需要将相对自发和主观的体验转化为所有人都能例行遵循的模式和行为。制度化过程中的一些模式包括邪教活动、涉及崇拜或仪式的行为、统称为信仰的观念模式，以及宗教团体的社会组织或社会结构（O'Dea & O'Dea Aviad, 1983）。

Many religions originate in the personal experiences of a charismatic leader who claims to be the spokesperson of the deity. The death of even the most charismatic of leaders, however, makes it necessary to institutionalize the religious experiences of the early participants. Such institutionalization involves turning a relatively spontaneous and subjective experience into patterns and behavior that all can routinely follow. Some of the patterns of the institutionalizing process include cult activities, behavior involving worship or ritual, a pattern of ideas collectively called beliefs, and the social organization or social structure of a religious group (O’Dea & O’Dea Aviad, 1983).

宗教的共同特征

Common Features of Religions

一切宗教一旦制度化，都是由信仰、仪式、组织构成。

Once they are institutionalized, all religions consist of beliefs, rituals, and organization.

信仰。宗教信仰体系包括神话和神学。神话是叙述某些事件如何被赋予神圣性的叙事。它们是故事——通常以寓言的形式——用平实却充满情感的语言传达关于神灵的活动或道德准则的基本思想。神话的力量在于它能够将信徒凝聚成一个虔诚的社群。例如，关于第一个圣诞节的故事——基督诞生在伯利恒客栈的谷仓里，三位国王在星星的指引下前来朝拜，并带来礼物，谦逊的牧羊人驻足并羞涩地向新生儿致敬——旨在在圣诞节期间团结基督教社群。

Beliefs. Religious belief systems include myths and theology. Myths are narratives that recount how certain events have been invested with the quality of sacredness. They are stories—often in the form of parables—that communicate in plain but emotionally charged terms a basic idea about either activities or moral prescriptions of the divine being. The power of a myth lies in its ability to bind believers into a community of faithful. For example, the stories told about the first Christmas—the birth of Christ in the barn of the inn at Bethlehem, the three kings who come to worship guided by a star and the gifts they bring, the humble shepherds who stop in and shyly salute the newborn—have as a goal the unifying of the Christian community at Christmastime.

神学是解释信仰体系的理性思想体系。它通常在祭司阶层与宗教团体中的世俗成员区分开来时发展起来，并通常以教义或信条的形式阐明。犹太教和基督教的信仰包含在《托拉》和《圣经》中，穆斯林的信仰包含在《古兰经》中。这些圣书的功能在于以通俗易懂的形式解释和论证神圣的事物以及特定仪式的必要性。

Theology is the rational system of ideas that explains a belief system. It usually develops when a priestly class comes to be differentiated from the lay members of a religious group and is often spelled out in doctrines or articles of faith. Jewish and Christian beliefs are contained in the Torah and the Bible, Muslim beliefs in the Quran. The function of these holy books is to explain and justify the sacred and the need for the particular ritual in a form easily understood by people.

仪式。仪式是一项非常重要的实践，因为它代表了人们对神圣事物的正确行为方式。它是维护神圣性的机制。任何行为都可以仪式化：跳舞、在特定地点聚集、用特殊容器饮酒或食用特定食物。在犹太人的逾越节家宴上，人们会供应象征性的食物，并诵读历史事件——例如逃离埃及的奴役。这项年度纪念活动旨在将犹太人民团结成一个拥有共同历史的社群。基督教弥撒是对原始体验的类似再现，也是信徒表达与神圣关系的一种方式（O'Dea & O'Dea Aviad, 1983, 42）。由于仪式代表了对神圣事物的正确行为方式，它能够减轻与之相关的一些恐惧。

Rituals. Ritual is a very important practice because it represents the correct form of behavior of people toward the sacred. It is a mechanism for maintaining sacredness. Any kind of behavior may become ritualized: dancing, gathering in a specific spot, drinking from a special container, or eating particular foods. At a Jewish Passover Seder, symbolic foods are served, accompanied by the reading of the historic events—the escape from slavery in Egypt. This annual commemoration has the function of uniting the Jewish people into a community with a common past. The Christian Mass is a similar representation of the original experience and a way for the worshippers to express their relationship to the sacred (O’Dea & O’Dea Aviad, 1983, 42). Because ritual represents the correct form of behavior toward the sacred, it eases some of the dread connected with it.

仪式实践极其丰富，富有想象力。从活人祭祀到服用致幻剂佩奥特，从舞蹈等各种形式的身体活动，到禁食、通过痛苦或剥夺睡眠来禁欲。所有这些方法都是为了达到一种精神境界，在这种境界中，人们被认为更容易接受神圣。研究仪式的社会学家认为，仪式有助于人们获得自我超越的感觉（超越自我，超越自我）。这种情感是与基督教原教旨主义教派相关的复兴仪式的一部分。在现代，信仰的作用比仪式更重要，这或许就是为什么如此多的年轻人被更加丰富多彩的宗教表达所吸引。

Ritual practices have been incredibly rich and imaginative. They have ranged from the offering of human sacrifices to the consumption of peyote, a hallucinogen, to forms of physical activity like dancing, to fasting and the mortification of the flesh by pain or the denial of sleep. All these methods are designed to achieve a spiritual state in which one is thought to be more receptive to the sacred. Sociologists who have analyzed ritual think that it helps people attain the feeling of self-transcendence (of being beyond and outside oneself). Such an emotion is part of the revivalist ritual associated with the fundamentalist sects of Christianity. In modern times, the role of beliefs is more important than that of ritual, which is perhaps why so many young people are attracted to more colorful religious expressions.

几乎所有宗教都包含祈祷，这是最常见的宗教行为形式。然而，玛那（Mana）和禁忌的概念也构成了宗教仪式行为的一部分。玛那指的是宗教信徒相信物体所蕴含的力量，这种力量会传递给任何触碰该物体的人。许多基督徒相信，如果他们参拜纪念某种神迹的圣地，他们的病就会痊愈；而对许多犹太人来说，触摸西墙——耶路撒冷圣殿唯一残存的城墙——也具有重要意义，这堵墙在2000年前被摧毁。玛那的反义词是禁忌，即禁止与某些物体进行身体接触。在某些宗教中，强烈的禁忌涉及不同地位的人之间的接触；在其他宗教中，禁忌主要涉及食物。摩门教禁止使用烟草、酒精和含咖啡因的饮料，而犹太教饮食教规则禁止犹太人食用猪肉和贝类，以及在同一餐中混合使用奶制品和肉类菜肴。

The most common form of religious behavior, found in almost every religion, is prayer. However, the notions of mana and taboo are also part of religious ritual behavior. Mana is a reference to the power that adherents of a religion believe inheres in an object, power that is transmitted to any individual who touches the object. Many Christians believe they will be cured if they visit shrines commemorating some miraculous act; and to many Jews, touching the Western Wall, the only remaining wall of the Temple in Jerusalem destroyed 2,000 years ago, is also of great significance. The opposite of mana is a taboo, or a prohibition against having physical contact with certain objects. In some religions a strong taboo concerns contact between persons of different status; in others, the taboo involves mainly foods. The Mormons forbid the use of tobacco, alcohol, and beverages containing caffeine, whereas the laws of Kashrut forbid Jews the consumption of pork and shellfish, as well as the combination of dairy and meat dishes in the same meal.

最后，仪式还包括使用象征符号，这些符号不仅用于识别特定宗教，也用于象征神圣。基督徒使用十字架作为象征，犹太人使用大卫之星，等等。即使在世俗世界中，使用象征符号也很流行，旗帜也发挥着类似的作用。在谷歌上搜索“宗教符号”。

Finally, ritual also includes the use of symbols meant not only to identify the particular religion but also to represent the sacred. Christians use the symbol of the cross, Jews the star of David, and so on. The use of symbols is popular even in the secular world, where flags have a similar role. Search “Religious Symbols” on Google.

宗教组织。西方社会尤其以其宗教群体的多样性而丰富。尽管基督教是西方的主流信仰，但它包含着大量不同的宗教表达形式。宗教是一个经久不衰的制度，但其本质也是动态的。它的组织形式经历了无数次变革。基督教最初是犹太教的一个分支；新教徒同样脱离了天主教；浸信会、长老会、卫理公会、路德宗以及许多其他宗教团体对新教都有着不同的解读。宗教组织则根据其分类，分为教会、教派和邪教。

Religious Organization. Western societies are particularly rich in the diversity of their religious groups. Even though Christianity is the predominant faith of the West, it contains a large number of various religious expressions. Religion is an enduring institution, but it is also dynamic in nature. It has undergone numerous changes of an organizational character. Christianity began as a splinter group of Judaism; Protestants similarly broke away from Catholicism; and Baptists, Presbyterians, Methodists, Lutherans, and many others offer varying interpretations of Protestantism. Religious organization follows the classification into church, sect, and cult.

教会。教会是一个彻底制度化、被广泛接受并很好地融入社会秩序的宗教组织。罗马天主教会；联合卫理公会、国家浸信会和南方浸信会等新教教会；耶稣基督后期圣徒教会；希腊东正教；以及犹太教会，都是美国的教会（这里的教会不是指礼拜堂，而是指一种组织方式）。

Church. A church is a religious organization that is thoroughly institutionalized, well accepted, and well integrated into the social order of society. The Roman Catholic Church; such Protestant churches as the United Methodist, the National and the Southern Baptist; the Church of Jesus Christ of Latter Day Saints; the Greek Orthodox Church; and the Jewish congregations are all churches in the United States (church here does not refer to a house of worship, only to a method of organization).

教会分为教会（ecclesia）和教派（denomination）。教会是官方的国家宗教，一个社会的大多数公民都信仰该宗教。有时，教会垄断了宗教信仰。在这种情况下，它被称为普世教会。在大多数阿拉伯国家，伊斯兰教是普世教会。中世纪欧洲的天主教会也是一个普世教会。另一方面，教派不与任何州或国家政府正式关联。例如，在美国，政教分离是一项重要的宪法原则。在许多现代社会中，可能存在教会，但没有普世教会：英国的圣公会和拉丁美洲大部分地区的天主教会就是当代西方社会中教会的例子。在这些社会中，世俗或世俗社会体系的信仰和价值观与宗教体系的信仰和价值观密切相关。教会在非宗教生活领域具有巨大影响力，反之亦然。

Churches are differentiated into the ecclesia and the denomination. The ecclesia is an official state religion to which most citizens of a society belong. Sometimes the ecclesia has a monopoly on religious belief. In such cases, it is called a universal church. In most Arab countries Islam is the universal church. The Catholic Church of medieval Europe was also a universal church. The denomination, on the other hand, is not officially linked to any state or national government. In the United States, for instance, the separation of church and state is an important constitutional principle. In many modern societies, there may be an ecclesia but not a universal church: the Anglican Church in England and the Catholic Church in most of Latin America are examples of contemporary ecclesiae in Western societies. In these societies, the beliefs and values of the secular, or worldly social system, and those of the religious system are closely related. The ecclesia has great influence in nonreligious areas of life and vice versa.

如上所述，美国没有教会（ecclesia），而是多种教派并存。教派，简称为教会，尤其体现在具有较长工业化历史的多元化社会中。在政教分离的条件下，它们能够更加和谐地共存；它们对其他宗教组织持包容态度；尽管它们也接受皈依者，但其成员资格大多是世袭的。它们对成员的宗教信仰要求不高，只需偶尔去教堂礼拜并获得经济资助即可。

As noted, the United States has no ecclesia; instead, a large variety of denominations coexist. Denominations, more simply called churches, are especially characteristic of pluralistic societies with a longer history of industrialization. They coexist more harmoniously when there is separation of church and state; they are tolerant of other religious organizations; and membership in them is mostly hereditary, although they accept converts. They do not make great demands on their members for religious commitment, being content with occasional church attendance and financial support.

教派。教派通常指脱离主流的运动，象征着对国教保守主义的反抗。起初，它由一小群自愿聚集在一起的人组成（这与大多数人出生时就加入的教会不同）。成功的教派会逐渐成为国教的教派。

Sect. A sect is usually a breakaway movement, denoting rebellion against the conservatism of the established church. At first, it consists of a small group of people who come together voluntarily (as opposed to what happens in a church, into which most people are born). Successful sects in turn become denominations of the established church.

教派通常拒绝正式的神职人员，而倾向于将宗教责任分给普通信徒。通常，富有魅力的领袖会用情感投入来弥补专业训练的不足。信徒的奉献和参与受到高度重视。教派比宗派更强调宗教情感和表达。他们也不太在意宗教的形式和传统方面。

Sects generally reject an official priesthood, preferring to divide religious responsibilities among the lay members. Often, a charismatic leader makes up for lack of professional training with emotional commitment. Commitment and participation by members are high and valued. Sects emphasize religious emotions and expression to a far greater degree than do denominations. They are also less concerned with the formal and traditional aspects of religion.

教会与教派之间经常发生冲突。教派强调宗教思想的纯洁性和对宗教精神的绝对忠诚。教会则强调维持制度的稳定和对宗教文字的忠诚。

Church and sect are frequently in conflict. The sect stresses the need for the purity of religious thought and uncompromising faithfulness to the spirit of religion. The church emphasizes the necessity of maintaining a stable institution and faithfulness to the letter of religion.

随着时间的推移，一些教派的成员数量会变得足够多，最终制度化。由于这种情况屡见不鲜，社会学家将教派视为正在形成的教派。大多数教派组织只存在一代人，或者在第二代或第三代发生转变。再洗礼派、胡格诺派、门诺派、长老会和浸信会等曾经是教派，但自宗教改革以来，它们都成为了教派。如今，耶和华见证人、神召会和各种五旬节派团体都是基督教教派的典型代表，而哈西德派犹太教则是犹太教的一个分支。

In time some sects gain a large enough membership to become institutionalized. Because this has occurred on many occasions, sociologists regard sects as denominations in the making. Most sectarian organizations last for one generation only or become transformed by the second or third generation. The Anabaptists, Huguenots, Mennonites, Presbyterians, and Baptists, among others, were once sects, but all have become denominations since the Reformation. Today, Jehovah’s Witnesses, the Assembly of God, and the various Pentecostal groups are examples of Christian sects, whereas Hasidic Jews exemplify a sect of Judaism.

邪教。最后，邪教是最不传统、最不制度化的宗教组织形式。它们具有临时性，并且往往围绕着一位魅力型领袖。邪教与教派的共同点在于，它们倾向于拒绝现状，并且是规模较小、自愿参与、排他性的宗教团体，试图建立一个新的宗教体系。然而，虽然教派脱离了现有的宗教组织，邪教试图建立一种与现有宗教团体无关的新宗教传统。邪教通常是围绕一位领导者聚集的临时追随者群体，其教义与任何教会或教派的教义截然不同。它们可能包含宗教创新——领导者声称获得了新的启示或见解——或基于从其他社会引入的思想。

Cult. Finally, cults are the least conventional and the least institutionalized forms of religious organizations. They are temporary and tend to revolve around the figure of a charismatic leader. Cults share with sects the fact that they tend to reject the status quo, and that they are small, voluntary, and exclusive religious groups attempting to establish a new religious system. But while sects break away from an existing religious organization, cults attempt to found a new religious tradition that has no ties to an existing religious group. Cults are usually temporary groups of followers clustered around a leader whose teachings differ substantially from the doctrines of either any ecclesia or denomination. They may consist of religious innovations—when leaders maintain to have received new revelations or insights—or be based on ideas imported from other societies.

图片 13.3原教旨主义教派的兴起，其传教士往往成为电视和广播名人，也催生了所谓的巨型教堂，吸引了成千上万的信徒前来礼拜。图中为洗礼仪式。

IMAGE 13.3 The rise of fundamentalist sects whose preachers often become television and radio celebrities has also brought into existence the so-called megachurches that attract hundreds and thousands of worshippers for services. Here, a baptism ritual.

持续存在的邪教往往会发展成教派，甚至教会。统一教和基督教科学派就是邪教发展成教派或教会的典型例子（McGuire，1987）。最早的基督徒是犹太人，他们创立了一个邪教组织，将拿撒勒的耶稣视为犹太人期盼的弥赛亚。邪教对社会边缘群体有着强烈的吸引力。在20世纪60年代和70年代的美国，邪教尤为盛行，当时正值政治和社会动荡时期，大量新兴邪教吸引了大批年轻人。

Again, cults that persist often develop into sects and even churches. The Unification Church and Christian Science are illustrations of cults that have become sects or churches (McGuire, 1987). The first Christians were Jews who began a cult that considered Jesus of Nazareth the Messiah the Jews were expecting. Cults have a strong appeal to the alienated of a society. They had a particularly large flowering in the United States in the decades of the 1960s and 1970s, an era of political and social unrest when a rash of new cults attracted large numbers of young adults.

科学与宗教

Science and Religion

在西方社会，科学与宗教常常针锋相对。科学与宗教都关注一些相同的问题：我们是谁？谁把我们放在这个世界上？我们在宇宙中是孤独的吗？我们为什么在这里？生命的意义是什么？这些答案最初是由宗教提供的，基于前科学的观察，这些观察被人们基于信仰接受。在古代世界，自然和宇宙被视为神力的产物。

In Western societies, science and religion have often been at loggerheads. Both science and religion are concerned with some of the same questions: Who are we? Who put us here? Are we alone in the universe? Why are we here? What is the purpose of life? The answers were first offered by religions and were based on prescientific observations, which were accepted on faith. Nature and the universe, in the ancient world, were seen as the creatures of a divine power.

随着时间的推移，人们继续进行着对天象的细致观察，并进行着日益复杂的数学计算。这些活动取得了显著的成果。到公元前1400年，中国学者确立了365天的太阳年。印度学者创立了十进制。几何学、天文学以及所有生物的分类都是古希腊的贡献。所有这些发现都没有阻碍宗教思想的发展。

As time went on, people continued to engage in careful observations of the heavens and increasingly sophisticated mathematical calculations. These activities yielded dramatic results. By 1400 BC, Chinese scholars had established a solar year consisting of 365 days. Indian scholars formulated the decimal system. Geometry, astronomy, and a classification of all living organisms were contributions of ancient Greece. None of these discoveries hampered religious thought.

然而，基督教的出现及其对圣经创世解释的接受，使一些学者与教会发生了冲突。他们推断，如果宇宙是由一位理性的上帝从虚无中创造出来的，那么其结果必然只是无数可能性中的一种。因此，只有通过经验实验才能发现支配宇宙的规律。这些实验的结果与宗教相冲突。首先是波兰天文学家哥白尼，然后是意大利天文学家伽利略（他能够使用最早的望远镜之一），他们证明了地球和其他行星绕太阳旋转。这一发现与基督教所信奉的亚里士多德的明确立场背道而驰，亚里士多德认为地球是宇宙的中心，自然服务于人类，人类服务于上帝。因此，哥白尼遭到马丁·路德的谴责，伽利略则被宗教裁判所审判并判处软禁。还有许多人受到更为严厉的对待，例如因敢于违背圣经教义而被烧死。

The advent of Christianity and its acceptance of the Biblical explanation of creation, however, put some scholars on a collision course with the church. They reasoned that if the universe was created by a rational God out of nothing, the results had to be only one of an infinite number of possibilities. Therefore, the laws that governed this universe could be discovered only through empirical experimentation. The results of such experimentation conflicted with religion. First Copernicus, a Polish astronomer, then Galileo, an Italian one (who was able to use one of the first telescopes) proved that the earth and other planets circled the sun. This discovery ran counter to the neat Aristotelian position, embraced by Christianity, that the earth was the center of the universe, with nature serving humans and humans serving God. Consequently, Copernicus was denounced by Martin Luther, and Galileo was tried and condemned to house arrest by the Inquisition. Many others were treated even more severely—burned at the stake, for instance, for daring to contradict Biblical teachings.

在十八世纪被称为“启蒙运动”的时期，科学取得了巨大的进步，这也进一步加剧了宗教与科学之间的隔阂。此时，很明显大多数生物为了适应特定的环境都发生了深刻的变化——它们进化了。进化论与教会的教义相矛盾，教会认为上帝同时创造了所有生物，而且这些生物一直是不可改变的。当达尔文发表《物种起源》时，他受到了嘲笑和强烈的攻击。在这部著作中，他认为物种的进化和变化是由于后代在生存竞争中出现变异而产生的，这些变异要么被淘汰，要么被保留了下来。他的理论被他的敌人歪曲，他被诽谤为人类源自猿类观点的导师。

During the period known as the “Enlightenment” in the eighteenth century, science took giant steps forward, forcing a further estrangement between religion and science. It became clear at this point that most living things had undergone profound changes in their attempt to fit into given environments—they had evolved. Evolution contradicts the teachings of the church, according to which God created all living things at one time, and they have remained immutable. When Darwin published On the Origin of Species, he was derided and strongly attacked. In this work, he posited that species evolved and changed as a result of variations in offspring that were either eliminated or maintained in the struggle for survival. His theories were distorted by his enemies, and he was vilified as the mentor of the idea that humans derived from apes.

这场冲突持续到了二十世纪，因为科学家们能够测定岩石和化石的年代，并发现它们有数百万年的历史，而不是几千年。圣经所宣告的年代。直到1925年，田纳西州的一位教师约翰·斯科普斯（John Scopes）因教授进化论而被起诉、审判并被判罪。即使在今天，许多学区仍然要求将“神创论”（即圣经对创世的解释）与进化论教学结合起来。尽管教皇约翰·保罗二世已于1992年为罗马天主教会谴责伽利略道歉，并认可进化论是上帝总体计划的一部分，但学校仍然坚持要求将“神创论”——即圣经对创世的解释——与进化论教学结合起来。

The conflict continued into the twentieth century, as scientists became able to date rocks and fossils and found them to be millions of years old, rather than the thousands of years proclaimed by the Bible. As late as 1925, a Tennessee schoolteacher, John Scopes, was indicted, put on trial, and convicted for teaching evolutionary theory. A number of school districts continue to demand, even today, that “creationism,” that is, a Biblical interpretation of creation, be included together with the teaching of evolution. This, despite the fact that Pope John Paul II apologized, in 1992, for the Roman Catholic Church’s condemnation of Galileo and endorsed evolution as part of God’s master plan.

科学与宗教会永远维持这种不稳定的共存吗？从某种角度来看，它们必须如此。事实上，科学建立在永恒的怀疑和质疑之上；宗教则建立在不可动摇的信仰之上。假设和实验得出的只是暂时的真理，它总是会被修正；而信仰得出的则是信念，其真理性无法通过实验或计算来证明。

Will science and religion continue forever their uneasy coexistence? From one point of view, they must. Science, in fact, is based on perpetual skepticism and doubt; religion is based on unshakable faith. Hypothesis and experimentation yield tentative truths, always subject to revisions; faith yields convictions, whose truths cannot be proved by either experimentation or calculation.

美国的宗教

Religion in America

美国的宗教具有与其他许多社会宗教不同的特点。首先，美国从未有过要求公民信奉的国教。相反，政教分离的理念在社会中根深蒂固。大多数早期定居者本身就是宗教异见者，他们试图在新社会中维持宗教的同质性。这些尝试并没有持续太久。美国宗教的教派多元化是其特征之一。

Religion in the United States has characteristics that distinguish it from religion in many other societies. For one thing, the United States has never had a state religion to which citizens were expected to belong. On the contrary, the idea of the separation of church and state has been firmly ingrained in the society. Most of the early settlers were themselves religious dissenters, who then attempted to maintain religious homogeneity in the new society. These attempts did not succeed for long. The denominational pluralism of American religion is one of its characteristics.

此外，多个教派的共存使得宗教组织不得不竞相吸引关注，并尽可能多地吸引信徒。因此，宗教不得不借鉴经济市场中的许多实践。在美国，宗教是在志愿组织的背景下进行的，往往显得世俗化或世俗化，而非精神化。教堂建筑用于娱乐、玩牌和宾果游戏，以及讨论政治和性问题。因此，美国宗教相对世俗化、高度官僚化、专业化和高效化。此外，与许多其他社会相比，美国宗教更注重乐观主义，较少强调自我牺牲和惩罚。作为一个社会，我们更有可能选择一种承诺心灵平静和享受劳动成果的自由的宗教，而不是一种承诺永恒诅咒和压抑享乐欲望的宗教。

Moreover, the coexistence of many denominations makes it necessary for religious organizations to compete for attention and to attract as many faithful as possible. Religion, therefore, has had to borrow many practices from the economic marketplace. In the United States, religion is practiced in the context of voluntary organizations and often appears to be rather secular, or worldly, rather than spiritual. Church buildings are used for recreational purposes, to play cards and bingo, and to discuss problems of politics and sex. American religion, then, is relatively secular, highly bureaucratized, specialized, and efficient. Moreover, it is characterized by more optimism and less emphasis on self-sacrifice and punishment than in many other societies. As a society we are more likely to choose a religion that promises peace of mind and the freedom to enjoy the fruits of our labor than one that promises eternal damnation and the need to repress our desire for pleasure.

最后，这个机构可以说是既稳定又变化的。也就是说，新的宗教不断涌现，各种宗教组织的参与者和成员也在不断变化，甚至宗教观念也代代相传。然而，信仰和参与的基本模式与过去大致相同，三大主要宗教团体仍然是新教、天主教和犹太教，尽管主要由于移民的增加，伊斯兰教正在迅速赶上。

Finally, this institution may be described as both stable and changing. That is, new religions are constantly appearing, participants and members of various religious organization change, and even religious ideas differ from one generation to the next. Yet the basic patterns of commitment and participation remain much as they were in the past, and the three most prominent religious groups continue to be the Protestants, Catholics, and Jews, although, mainly as a result of increases in immigration, Islam is rapidly catching up.

美国的宗教信仰

Religiosity in America

宗教信仰指的是一个人对信仰上帝、死后生活、天堂和地狱等问题的深刻感受，以及宗教信仰如何转化为行为。从宗教信仰的角度来看，美国是基督教世界中最虔诚的国家之一，当然也是工业化国家中的一员。事实上，在富裕国家，较少人认为宗教重要，而在贫穷国家，大多数人则认为宗教重要。此外，年轻人认为宗教并不重要。在美国，性别差异也同样存在：65%的女性认为宗教对……很重要: 妇女是穆斯林，而只有 44% 的男性有此倾向。宗教对穆斯林来说非常重要，几乎所有穆斯林都遵守伊斯兰教仪式。见：www.pewglobal.org/2008/09/17/chapter-2-religiosity。皮尤研究中心 2015 年发布的另一项调查（www.religions.pewforum.org/reports）发现，超过四分之一的美国成年人已经从他们成长过程中的宗教信仰转变为另一种宗教。在 18-29 岁的美国人中，四分之一的人坚持认为他们不信仰任何宗教。这个数字显然在增长：皮尤研究中心称，大约 23% 的美国成年人口自认为是无神论者或不可知论者，他们的平均年龄现在为 36 岁。这些无宗教信仰者被称为“无宗教信仰者”，因为他们在回答有关他们信仰哪种宗教的问题时的方式不同。

Religiosity refers to a person’s depth of feeling regarding issues pertaining to belief in God, life after death, heaven and hell, and how religious beliefs translate into behavior. From the point of view of religiosity, the United States is among the most religious countries in the Christian world and certainly among the industrial nations. In fact, in wealthy nations fewer people view religion as important, whereas in poor nations a majority do. Moreover, younger people say that religion does not play an important role. In the United States there is also a gender gap: 65 percent of women consider religion important to them, whereas only 44 percent of men do. Religion is very important to Muslims, whose Islamic rituals are almost universally practiced. See: www.pewglobal.org/2008/09/17/chapter-2-religiosity. Another Pew Research Center survey published in 2015 (www.religions.pewforum.org/reports) found that more than one-quarter of American adults have changed from the religion in which they were raised to another religion. Among Americans aged 18–29, one in four maintain that they are not affiliated with any religion. This number is apparently growing: the Pew Research Center maintains that roughly 23 percent of the U.S. adult population self-identify as atheists or agnostics and their median age is now 36. These unaffiliated individuals are referred to as “nones” because of the way they respond to questions about which religion they subscribe to.

美国曾是一个以新教为主的国家，但目前只有51%的人口是新教徒，教会内部呈现出高度多元化和分裂的态势。天主教的损失最为惨重——只有24%的人自称是天主教徒。然而，在外国出生的人群中，天主教徒的数量超过了新教徒。最后，尽管近年来所有基督教团体都出现了衰落，但福音派新教徒的数量在过去七年里却略有增长。

The United States had been a predominantly Protestant country, but currently, only 51 percent are Protestant, and the church is characterized by much internal diversity and fragmentation. Catholicism has experienced the greatest losses—only 24 percent describe themselves as Catholics. However, among the foreign-born, Catholics outnumber Protestants. Finally, although all Christian groups have seen a decline in recent years, evangelical Protestants have actually experienced a slight increase over the last seven years.

如上所述，宗教观念似乎与人均年收入相关：国家越富裕，对宗教的重视程度就越低——美国除外。总计71%的美国人表示他们相信上帝（他们表示绝对确信）。福音派教会信徒的比例甚至更高（90%），耶和华见证人信徒的比例更是高达93%。高比例（74%）的人表示相信来世，特别是天堂（74%）和地狱（59%）（皮尤宗教与公共生活论坛，2013年）。

As noted, views on religion seem to correlate with annual per capita income: the wealthier the nation, the less importance it places on religion—with the exception of the United States. A total of 71 percent of Americans say they believe in God (they say they are absolutely certain). For persons who attend Evangelical churches the percentage is even higher (90 percent), and for Jehovah’s Witnesses it is 93 percent. High percentages (74 percent) express a belief in an afterlife, specifically in heaven (74 percent) and hell (59 percent) (Pew Forum on Religion & Public Life, 2013).

其他宗教调查证实了一些迷思，也推翻了其他一些。宗教信仰（定义为对上帝的信仰）在美国中西部和南部地区的普及率高于东部和西部。女性和非裔美国人比男性、西班牙裔和白人更有可能信仰上帝。未受过大学教育的人比拥有研究生学位的人更有可能信仰上帝：前者为82%，后者为73%。老年人信仰上帝的人数高于年轻人：65岁及以上人群中，老年人信仰上帝的人数为83%，而25至29岁人群中，老年人信仰上帝的人数仅为71%。

Other surveys on religion confirm some myths and shatter others. Religiosity, defined as a belief in God, is higher in the Midwest and South than in the East and West of the United States. Women and African Americans are more likely to believe in God than are men, Hispanics, and whites. Persons with no college education are more likely to believe in God than those with postgraduate degrees: 82 percent versus 73 percent. Older persons express a belief in God in higher numbers than younger people: 83 percent of those 65 and over versus 71 percent of those aged 25 to 29.

分析教会归属情况时，新的研究表明，无宗教信仰的人口比例有所增加。例如，1988年有报道称，8%的人口没有宗教信仰。这一比例持续上升，直到今天，五分之一的美国公众和三分之一的30岁以下人群没有宗教信仰（皮尤研究中心，2013年）。在有组织宗教信仰的人群中，26.3%是福音派新教徒，18.1%是主流新教徒，23.9%是天主教徒，6.9%是传统黑人教会成员，1.7%是犹太教徒，1.2%属于其他教派。根据这些数据，不到5%的美国人口声称自己信仰犹太教-基督教主流以外的宗教，而黑人新教和福音派新教团体中的信仰和实践水平最高且最为一致。

When church affiliation is analyzed, new research indicates an increase in the percentage of the population that reports no religious affiliation. For instance, in 1988 it was reported that 8 percent of the population subscribed to no religion. This percentage has kept rising until today one-fifth of the U.S. public and one-third of those under 30 years old are unaffiliated (Pew Research Center, 2013). Among those affiliated with organized religion, 26.3 percent are evangelical Protestants, 18.1 percent are mainline Protestants, 23.9 percent are Catholics, 6.9 percent are historically black churches, 1.7 percent are Jewish, and 1.2 percent are affiliated with other denominations. According to these figures, less than 5 percent of the U.S. population claim a faith outside the Judeo-Christian mainstream, and the highest and most consistent levels of belief and practice are found within black Protestant and evangelical Protestant religious groups.

二战后，教堂的出席率有所下降，尤其是在罗马天主教徒之间，因为当时他们对生育控制问题存在分歧。根据皮尤论坛的调查，72% 的美国人每年至少去教堂几次，38% 的人表示他们每周或几乎每周都去。然而，27% 的人表示他们很少或从未参加过宗教仪式。女性比男性更频繁地参加教堂活动，新教徒比天主教徒更有可能每月去教堂一次或以上，而犹太人的出席率最低——只有 16% 的人每月去犹太教堂一次或以上（哈里斯互动民意调查，2003 年）。

Church attendance had declined during the post-World War II era, especially among Roman Catholics during a period when they disagreed about matters of birth control. According to Pew Forum Survey, 72 percent of Americans attend church at least a few times a year, and 38 percent say they attend every week or nearly every week. However, 27 percent say they seldom or never attend religious services. Women attend more frequently than men, Protestants are more likely than Catholics to attend church once a month or more, and Jews have the lowest attendance—16 percent attend a synagogue once a month or more often (Harris Interactive Poll, 2003).

皮尤宗教与世界事务论坛再次指出，宗教在世界各地的影响力日益增强，这对美国的政策和安全具有重要意义。宗教似乎对民主转型产生了巨大影响，宗教政党和运动在许多国家获得了民众的支持。与此同时，基于宗教的不满情绪也成为内战、国家间冲突和国际恐怖主义的诱因。

Again according to the Pew Forum on Religion and World Affairs, the impact of religion has increased around the world, a fact that has policy and security implications for the United States. Religions appear to exert considerable influence on transitions toward democracy, and religious political parties and movements have been achieving popular support in a number of nations. At the same time, grievances based on religion have been factors in civil wars, conflicts among states, and international terrorism.

图片 13.4几乎所有宗教中，女性的传统角色都是被动的——她们被鼓励祈祷，仅此而已。由于女权运动的兴起，许多教会开始任命女性牧师，但这也引发了不少争议。图中，一位女牧师正在布道。

IMAGE 13.4 The traditional role of women in almost all religions was a passive one—they were encouraged to pray, and that was all. As a result of the feminist movement, a number of churches have begun to ordain women, but not without creating much controversy. Here, a female preacher gives a sermon.

iStock：© Christopher Futcher

iStock: © Christopher Futcher

人口结构的变化也体现在宗教方面：全球南方国家正经历基督教的快速发展，而西方国家则正在经历穆斯林移民的增加。这些因素将对塑造公众态度和政府政策产生重要影响。参见：www.pewforum.org/2015/04/02/religious-projections-2010-2050/。

Demographic changes are also apparent in religions: the global south is experiencing a rapid growth of Christianity, whereas Western nations are undergoing increased immigration of Muslims. These factors will be important in shaping public attitudes and government policies. See: www.pewforum.org/2015/04/02/religious-projections-2010-2050/.

教育

Education

美国教育具有许多其他社会所不具备的特点。不难推测，在人类存在的大部分时间里，正规教育是少数人的特权，而非多数人的权利。在东西方社会，只有统治者、高级行政人员以及少数学者识字，更不用说受过全面教育了。但从这个国家成立之初，民主的理想（即使不是现实）就预设了普遍的政治参与，而这又需要知识渊博的公民。甚至在美国独立战争一百年前，在民主思想尚未扎根之前，出于宗教考虑，马萨诸塞湾殖民地就建立了一套义务教育制度，重点关注“四个R”：阅读、写作、算术和宗教。新教殖民者希望每个人都能亲自阅读圣经，而不是依赖牧师的解释。

American education has a number of characteristics not found in other societies. As may be easily surmised, for most of human existence formal education was the privilege of the few rather than the right of many. In both Eastern and Western societies, only the rulers and high-position administrators, together with a few scholars, were even literate, let alone fully educated. But from the very inception of this country, the ideals, if not the reality, of democracy presupposed universal political participation, which in turn required a well-informed citizenry. Even 100 years before the American Revolution, before democratic ideas had taken hold, religious considerations caused the Massachusetts Bay Colony to establish a mandatory school system that focused on the four Rs: reading, ’riting, ’rithmetic, and religion. The Protestant colonists wanted everyone to be able to read the Bible personally, rather than depending on the interpretation of ministers.

直到19世纪下半叶，大批移民涌入美国城市，义务大众教育才得以建立。他们中的许多人不会说英语，既不会读也不会写。有必要将他们“美国化”，使他们能够成为美国公民。工业界开始需要更多熟练的劳动力来处理日益复杂的技术，这进一步强化了让移民掌握英语的想法。一定程度的教育，最初以八年级文凭为代表，后来以高中文凭为代表，成为除最卑微的工作之外所有工作的先决条件。在这一时期，学校教育的功能是为每个人提供自给自足的手段。显然，学校体系反映了社会的需求，并且随着需求的变化，学校体系也随之变化。

Compulsory mass education was not instituted until the second half of the nineteenth century, when large waves of immigrants began pouring into American cities. Many of them spoke no English and could neither read nor write. It was necessary to “Americanize” them to make them fit to become citizens of the nation. The idea of rendering the immigrants literate in English was reinforced by industry, which was beginning to require more skilled laborers to handle its increasingly complex technology. A certain degree of education, at first represented by an eighth-grade diploma and later by a high school diploma, became a prerequisite for all but the most menial jobs. In this period, the function of schooling was to provide the means for each person to become self-supporting. Obviously, school systems reflect the needs of the society, and as the needs change, so do the systems of schooling.

对美国教育的传统看法是，作为一个社会，美国一直坚定地致力于普及教育的原则。如前所述，宪法的制定者们坚信，民主需要受过良好教育且消息灵通的选民。经济政策（资本主义）强化了民主的理想，因为它们要求每个人都享有在市场上平等竞争的机会。因此，人们普遍认为，教育的价值是整个社会的财富，而不仅仅是个人的财富。因此，美国的教育由全民征税来支持，所有父母都有法律义务送子女至少上学至16岁。

The traditional view of American education is that, as a society, the United States has been deeply committed to the principle of educating all. The framers of the Constitution, as noted previously, were convinced that democracy required a literate and well-informed electorate. Economic policies (capitalism) reinforced the ideals of democracy because they required that all persons have the opportunity to compete equally in the marketplace. There is a widespread assumption, then, that the value of education is an asset to the entire society, not just to the individual. As a result, education in the United States is supported by taxation on everyone, and all parents are legally bound to send their children to school at least until the age of 16.

教育批评家们并不认同传统观点。这些持修正主义观点的批评家认为，精英阶层——那些在经济和政府中拥有权力的人——发展了一种符合自身特定需求而非大众需求的教育体系。因此，在19世纪，工人阶级和移民子女必须接受社会化教育，以便为国家的工厂和企业提供更优秀的工人。因此，根本目标是灌输正确的工作习惯，使移民融入美国社会。学生个体的需求充其量只是次要的或偶然的。当时全国各地出现的学校体系的典范是所谓的兰开斯特体系。它强调死记硬背知识。课堂纪律严明，学生行为规范也体现在方方面面。日常生活的每个细节都受到严格管控。简而言之，该体系模仿了工厂的流水线，培养出随时准备从事工厂工作的学生。当然，兰开斯特体系并未普及：它主要盛行于城市工业中心。但修正主义者借用该体系的例子，指出精英阶层甚至能够控制社会大众所接受的教育类型。

Critics of education disagree with the traditional view. These critics, who espouse a revisionist view, maintain that the elite—those in positions of power in the economy and government—develop an educational system that corresponds to their particular needs, and not to the needs of the masses. Thus, in the nineteenth century, working-class and immigrant children had to be socialized in a way to provide better workers for the nation’s factories and businesses. The fundamental goal, then, was to instill proper work habits and to make immigrants fit into American society. The needs of individual students were at best secondary or accidental. The model for the school systems appearing around the country was the so-called Lancaster system. It emphasized rote memorization of facts and strict discipline in the classroom and in every aspect of student behavior. Every detail of the day was thoroughly regulated. In short, the system imitated an assembly line in a factory, producing students who were ready to perform factory jobs. Of course, the Lancaster system did not become universal: it prevailed primarily in urban, industrial centers. But the revisionists use the example of this system to point out that the elites are able to exert their control even in the type of education offered the people of a society.

图 13.5发展中国家的典型教室。这间教室位于加纳。

IMAGE 13.5 A typical classroom in the developing world. This one in particular, is in Ghana.

iStock：© demerzel21

iStock: © demerzel21

功能主义的教育观

The Functionalist View of Education

社会科学家在分析教育制度时所采用的功能主义和冲突主义方法，反映了传统和修正主义的教育观。从功能主义的角度来看，教育为社会做了一些事情。显然，教育的某些功能是显性的（即有意为之），而另一些功能是隐性的（即无意为之）。其中最重要的显性功能之一是补充始于家庭的社会化过程。具体来说，学校教会学生阅读、写作和计算；教授他们国家和世界其他国家的历史等基本知识；以及支配物理现象的基本规律。通过这种方式，学校有助于保护国家的文化遗产。学校还指出并强化社会中大多数人的价值观、信仰、规范和态度，从而强调学生从家庭社会化中获得的价值观。在大量移民涌入期间，人们的想法是，来自不同背景的孩子可以通过背诵效忠誓词、学习打棒球、了解庆祝感恩节的原因等方式，学习成为美国人。这些经历的目的是让学生们找到共同点，培养民族团结和凝聚力。这或许可以称之为教育的道德功能，学校至今仍秉持这一理念。此外，美国历史和政府的呈现方式并非其真实面貌，而是理想状态。直到学生达到更高的学术水平，他们才被要求批判性地评估其所在社会的文化和制度。

The traditional and revisionist views of education are reflected in the functionalist and conflict approaches that social scientists employ in analyzing the institution. In the functionalist perspective, education does certain things for society. Clearly, some of education’s functions are manifest (that is, intended), and some are latent (that is, unintended). Among the most important manifest functions is that of supplementing the socialization process begun in the family. Specifically, schools teach students how to read, write, and compute; such basic facts as the history of their country and of other countries of the world; and the essential laws governing physical phenomena. In this way, schools help preserve the cultural heritage of the nation. They also point out and reinforce the values, beliefs, norms, and attitudes of the majority of people in the society, thus stressing values students acquire from family socialization. During the influx of large masses of immigrants, the idea was that children from different backgrounds could learn to become Americans by reciting the pledge of allegiance, learning to play baseball, finding out why one celebrates Thanksgiving, and so on. The purpose of such experiences was to give students a common ground, to foster a sense of national unity and solidarity. This may be called the moral function of education, and schools still subscribe to it. In addition, American history and government are presented in their ideal, rather than in their real, form. It is not until students reach higher scholastic levels that they are asked to assess the culture and institutions of their society critically.

如今，学校还发挥着选拔、引导和培养学生的功能，使他们能够胜任最终在社会中扮演的社会和职业角色。学习社会角色的过程包括社会化，最终塑造社会所需的人格。美国学生被教导要有竞争力、重视成功、勤奋努力，并遵守群体规范。他们还学习自己长大后可能在社会上做什么。最后一项在工业社会中尤为重要。

Today, schools also function to help select, guide, and prepare students for the social and occupational roles they will eventually fill in society. The learning of social roles includes socialization that results in shaping the kind of personalities needed for the society. American schoolchildren are taught to be competitive, to value success, to be hardworking, and to conform to group norms. They also learn what they might grow up to do in the society. This last item is an especially important function in industrial societies.

最后，除了保存和传播过去和现在的文化知识和教学技能之外，学校还肩负着创造新知识的使命。高等教育尤其如此。它致力于探索新的理念、技术或发明，以促进人类生活。基因工程、癌症和其他疾病的治疗方法、各行各业的新技术，以及人类行为中许多未知的因素，都在大学实验室中得到探索。

Finally, in addition to preserving and disseminating past and present cultural knowledge and teaching skills, schools also function to generate new knowledge. This function is especially true of higher education. It consists of searching for new ideas, techniques, or inventions to facilitate human life. Genetic engineering, cures for cancer and other diseases, new technologies in all areas of industry, as well as many unknown factors of human behavior are all pursued in university laboratories.

潜在功能。教育的潜在功能之一是学校履行的监护职能。孩子上学期间，父母双方都可以工作。这项职能的普遍接受，以及对放学后安置年幼儿童的托儿中心的需求日益增长，表明人们认为国家应该为其未来公民的照料做出贡献。

Latent Functions. Among the latent functions of education is the custodial function that schools perform. When children are in school, both parents are able to work. The general acceptance of this function and the growing demand for child-care centers to accommodate younger children after school are indications that people feel that the state should contribute toward the care of its future citizens.

学生们长期相处，有些甚至长达二十多年，这促成了青年亚文化的形成。有时，其中一些亚文化会变得越轨或反文化。所有这些都对年轻人影响深远，并可能引发代际冲突。同时，年轻人之间的互动也促进了恋爱关系的建立，而这些关系往往最终会发展成恋情甚至婚姻。

The fact that students are brought together for long periods of time, some of them for more than 20 years, contributes to the formation of youth subcultures. Occasionally, some of these subcultures become deviant or countercultural. All are very influential on the young and can create generational conflicts. At the same time, interaction between young adults facilitates the initiation of relationships that often lead to romance and marriage.

最后，教育影响态度。研究表明，高中毕业生比未完成高中教育的人更能容忍政治和社会的不合常规。大学毕业生比高中毕业生更能容忍。教育对平等主义、民主原则以及对少数派和反对派观点的容忍度等价值观有积极的影响。然而，我们尚不清楚这些影响是否具有持久性。

Finally, education affects attitudes. Studies indicate that high school graduates are more tolerant of political and social nonconformity than those who did not complete high school. College graduates are more tolerant than high school graduates. Education has a positive effect on such values as egalitarianism, democratic principles, and tolerance of minority and opposition views. We do not know, however, whether these effects are permanent.

图片 13.6典型的美国教室。

IMAGE 13.6 A typical American classroom.

iStock：© Rich Legg

iStock: © Rich Legg

冲突教育观

The Conflict View of Education

冲突理论家秉持着马克思主义的“经济利益是大多数人类行为的基础”的理念，他们关注的是不同类别的人之间存在利益冲突，而且，掌权者会利用任何情况为自己谋利。冲突理论家指出，学校强化了社会的阶层分化体系，既使其合法化，也让学生为不同的社会地位做好准备。学校教授成就和竞争的价值观，将其作为向上流动社会阶层的技巧；他们假设那些通过竞争和成就赢得高地位的人是配得上这些地位的。学校还会根据学生的能力和天赋，将他们分成不同的类别，理论上也可以划分为不同的类别，或称为“跟踪”，以便每个人都能充分发挥自身潜力，成为一个富有生产力和创造力的人。这种选拔过程的意外结果是，中上阶层的学生被分配到学术类大学预科课程，而下层阶级和少数族裔的学生则经常被分配到普通课程和职业学习课程。当然，问题并非如此简单：中产阶级学生更适合上大学，之后更有机会进入职场，这背后有很多原因。但学校似乎在延续这一现状方面扮演着自己的角色。

Based on an essentially Marxist perception that economic interest lies at the base of most human behavior, conflict theorists focus on the fact that a conflict of interests exists among a variety of categories of people, and further, that those with power will turn any situation to their advantage. Conflict theorists point out that schools reinforce the stratification system of the society both by legitimizing it and by preparing students for different statuses. Schools teach the values of achievement and competition as techniques for upward social mobility; the assumption is that those who are in high-status positions that they won through competition and achievement merit their positions. Schools also sort students into different categories, or tracking, in theory according to ability and talent, so that each may fulfill his or her potential as a productive and creative person. The unintended effect of this selection process is that middle- and upper-class students are assigned to academic, college preparatory courses, whereas lower-class and minority students are frequently assigned to general and vocational study programs. Of course, the issue is not that simple: there are a number of reasons why middle-class students are better prepared to attend college and then go on to professions. But the schools appear to do their part in perpetuating this reality.

冲突理论家认为教育的功能主要都是负面的。他们断言，精英阶层利用教育体系操纵大众，维护其社会权力（Bowles & Gintis，1976；Collins，1979）。他们尤其认为，教育的真正目的是分配或安置人们，使其处于特定的社会地位。为此，除了显性课程之外，还存在着一种隐性课程。这种课程教导学生竞争意识强、服从命令、爱国爱教，而这些正是精英阶层需要灌输给未来某些职位候选人的价值观。最终的结果是，学校里充斥着当权群体的价值观，且不加批判地灌输。教师通常来自中产阶级，因此他们更青睐那些已经被社会化并持有相同价值观的学生，他们使用的例子和教学方法对中产阶级学生来说很容易理解，但对下层阶级、少数族裔或少数族裔学生来说却可能难以理解。

Conflict theorists consider the functions of education to be, in the main, negative. They assert that the educational system is used by the elite to manipulate the masses and maintain their power in the society (Bowles & Gintis, 1976; Collins, 1979). In particular, they claim that the real aim of education is to allocate, or place, people in a given social status. For that purpose, a hidden curriculum exists alongside the visible one. This curriculum teaches students to be competitive, obedient, and patriotic, values that elites need to imbue in people who are going to fill certain jobs. The end result is that the values of the group in power are taught uncritically in schools. Teachers are generally drawn from the ranks of the middle class, so they favor students who have been socialized to value the same things, and they use examples and teaching methods that are understandable to middle-class students but may be lost on lower-class, ethnic, or minority students.

冲突理论家批评文凭主义，即要求某些专业职业获得学位的做法，其目的是确保专业人士必须学习特定的知识体系。他们认为，需要文凭的职业往往薪水高、声望高，而获得文凭只是为了确保只有那些家庭背景优越的人才能留在同一个社会阶层。教育实际上创造了新的职业，并将精选的人安排在其中，从而增加了社会中专业化和精英职位的数量。例如，在大学设立这些专业知识体系或体育项目之前，并没有经济学家、社会学家、遗传学家或足球教练。大学的这些举措帮助创造了更多职业阶梯顶端的职位，并限制了底层的职位。然而，来自社会底层、但有自律性并能顺利完成学业的学生也确实可以获得这些职位。

Credentialism, or the practice of requiring degrees for certain specialized occupations, which was instituted to ensure that professionals would have to study a specific body of knowledge, is criticized by conflict theorists. They maintain that credentialed occupations also happen to be high-paying and prestigious, and obtaining credentials is just a way of ensuring that only those whose family already has a high social position remain in that same social stratum. Education actually creates new occupations and places selected people in them, increasing the number of specialized and elite positions in society. For example, there were no economists, sociologists, geneticists, or football coaches before universities set up these specialized bodies of knowledge or forms of athletics. These actions by the universities have helped create more positions at the top of the occupational ladder and have restricted those at the bottom. However, it is also true that such positions have been accessible to students in the lower social classes who had the discipline to successfully pursue a course of study.

美国教育的特点

Characteristics of American Education

除了很早就认识到普及大众教育的必要性之外，美国教育的另一个特点是学校受社区控制。每个社区都设立地方学区，学区内的学校由居住在该社区的儿童就读。由当地居民选举产生的学区委员会负责学校的决策。这种被严格维护的传统导致了美国学校的标准参差不齐，以及学校资金分配的不平等（富裕州的拨款比贫困州更慷慨，富裕学区对学生的资助也比贫困学区更慷慨）。在大多数其他国家，这种不平等现象得以避免，因为学校的资金由中央政府决定。

In addition to an early recognition of the need for universal, mass education, another characteristic of American education is the fact that schools are subject to community control. Local school districts are created in each community, and the schools within the district are attended by children residing in that community. The district’s board, elected by local residents, makes decisions for the schools. This zealously guarded tradition results in a variety of standards in the nation’s schools and inequality in the way schools are funded (wealthier states fund more generously than poorer states, and wealthier districts are more generous to their students than poorer districts). This inequality is avoided in most other nations, where school funding is determined by a central government.

学校是解决社会问题的万灵药

School as a Cure-All for Social Problems

美国教育的一个显著特点是，人们认为它是迈向经济乃至社会向上流动的第一步，也是必要的一步。正因如此，美国学校重视培训（指传授可用于工作的技能和信息），而忽视教育（指培养创造力和批判能力）。美国家长们一再表示，他们希望孩子上学是为了获得更好的工作，而不是为了激发他们的智力或培养任何潜在的创造才能。大多数家长认为，学校应该教导学生尊重法律和权威，并回避那些容易引起争议的话题。

One trait especially characteristic of American education is the fact that people consider it to be a first and necessary step toward economic and, therefore, social upward mobility. That is one reason why American schools stress training, in the sense of transmitting skills and information that can be used in the performance of a job, at the expense of education, in the sense of developing creative and critical abilities. Repeatedly, American parents have said they wanted their children schooled to obtain better jobs and not particularly to stimulate their mental powers or develop any potential creative talents. Most parents think that schools should teach students to respect law and authority and should shy away from subjects that prompt controversy.

图片 13.7教育在美国社会中一直比在许多其他社会中更为重要，或许是因为建国者们坚持认为，拥有知识渊博的公民是民主政府的先决条件。因此，地方学校的传统深深地铭刻在美国人的心中。

IMAGE 13.7 Education has always been more important in American society than in many other societies, perhaps because the Founders insisted that an informed citizenry was a prerequisite for a democratic form of government. Consequently, the tradition of the local schoolhouse is deeply etched on the American psyche.

iStock：© Grafissimo

iStock: © Grafissimo

由于人们坚信要成为优秀的美国公民必须接受教育，教育常常被视为解决各种社会问题的灵丹妙药。如果交通事故死亡人数过多，学校就会设立驾驶教育项目；如果社会上酗酒和吸毒泛滥，学校就会提供药物教育项目；如果青少年意外怀孕现象严重，学校就会试图通过设立性教育项目来解决问题。尽管初衷是好的，但几乎没有证据表明这些项目对问题的解决产生了显著的影响。

Because of the strong belief that one must be educated to be a good American citizen, education is frequently viewed as a cure-all for all manner of social problems. If there are too many traffic deaths, the schools institute driving education programs; if alcohol and drugs are abused in the society, the schools provide for drug education programs; if there are too many unwanted teenage pregnancies, the schools attempt to solve the problem by establishing sex education programs. Although the intentions are noble, there is little proof that such programs significantly affect the solution to the problems.

教育、阶级和种族

Education, Class, and Race

如上所述，美国已着手实施一项面向全民的教育计划，并在某些方面取得了成功。截至2012年，81%的公立高中学生毕业时获得了普通文凭。从种族来看，亚裔/太平洋岛民的毕业率最高，为93%，其次是白人（85%）、西班牙裔（76%）和黑人（68%）（美国国家教育统计中心，2014年）。截至2014年，共有788名男性和1056名女性获得了学士学位。大学学位几乎已成为获得高薪工作的必备条件；然而，高中毕业并进入大学就读的人数众多并不一定意味着高水平的智力成就。

As noted, the United States set out on a course of educating every individual, and in some aspects it has succeeded in this enterprise. As of 2012, 81 percent of public high school students graduated with a regular diploma. Viewed in terms of race, 93 percent of Asian/Pacific Islanders had the highest graduation rate, followed by whites at 85 percent, Hispanics at 76 percent, and blacks at 68 percent (National Center for Education Statistics, 2014). As of 2014, 788 males and 1,056 females received a bachelor’s degree. College degrees have almost become mandatory for obtaining a good-paying job; however, the large number of people graduating from high school and attending college does not necessarily signify a high degree of intellectual achievement.

人口普查局的调查显示，随着白人毕业率在 20 世纪 70 年代趋于平稳，而黑人高中毕业率大幅提高，教育不平等现象在过去 50 年里缓慢减少。然而，一些不平等现象仍然存在。例如，经过多年的进步，黑人和白人学生的考试成绩差距已经缩小，但在 1990 年至 1999 年间，差距再次开始扩大。教育部 2007 年报告称，虽然黑人和西班牙裔学生的阅读成绩比 2005 年提高了几分，但白人、黑人和西班牙裔学生之间仍然存在差距。2009 年和 2011 年的国家教育进展评估显示，非裔美国人和西班牙裔学生在四年级和八年级的数学和阅读考试中平均落后白人同龄人 20 分。此外，只有不到 10% 的高中黑人和西班牙裔学生参加严格的核心课程（《教育周刊》，2014 年）。

Census Bureau surveys have shown that educational inequality has decreased slowly over the past 50 years as white graduation rates leveled off in the 1970s, while blacks made major gains in high school graduation rates. Some inequalities are still apparent, however. After years of progress, for instance, in which the gap between test scores of black and white students had narrowed, the gap began to widen again between 1990 and 1999. The Department of Education reported in 2007 that although reading scores for black and Hispanic students improved by several points from 2005, there were still gaps between white, black, and Hispanic students. The National Assessment of Educational Progress in 2009 and 2011 showed that African-American and Hispanic students trailed their white peers by an average of 20 test-scores in math and reading in the fourth and eighth grades. In addition, fewer than 10 percent of black and Hispanic students at the high school level participate in rigorous core courses (Education Week, 2014).

教育差距的结果是造成收入差距，并进而造成社会阶层差距。信息经济对教育程度的要求在农业和工业社会中并不那么重要。在这类经济体中，即使没有受过多少教育的人也能在田间地头或工厂找到工作，维持体面的生活。在信息经济中，其他更具学术性的技能至关重要。大学教育日益成为进入中产阶级和上层阶级的大门。拥有专业学位意味着更高的收入：2012年，25至32岁拥有专业学位的全职成年人比仅有高中学历的同龄人平均年收入高出17,500美元（美国人口普查局，2013年）。美国劳工部称，失业率从拥有博士学位者的2.5%到高中以下学历者的14.6%不等。查看哪些专业具有最高的薪资潜力：www.payscale.com/college-salary-report-2014/majors-that-pay-you-back。

The result of the education gap is that it is producing an income gap and consequently a social class gap. The information economy requires a degree of education that was less important in agricultural and industrial societies. In those types of economies, even people without much education could obtain jobs—in fields or in factories—that would provide a decent livelihood. In the information economy, other skills, of a more academic nature, are paramount. Increasingly, a college education is the gate into the middle and upper classes. Possessing a professional degree translates into earning a much higher income: in 2012, adults 25 to 32 years old working full time with professional degrees earned an average of $17,500 per year more than peers with only a high school degree (U.S. Census Bureau, 2013). The U.S. Labor Department maintains that unemployment rates vary from 2.5 percent for persons with a doctoral degree, to 14.6 percent for those with less than a high school diploma. See which majors have the highest salary potential at: www.payscale.com/college-salary-report-2014/majors-that-pay-you-back.

最后，在过去的几十年里，教育成功与否因收入而异。富裕家庭的学生在学业上一直比低收入家庭的学生更成功。然而，这种情况在过去十年里有所加剧。斯坦福大学一位社会学家的一项研究表明，自20世纪60年代以来，富裕学生和低收入学生之间的标准化考试成绩差距扩大了约40%，目前是白人学生和黑人学生之间考试成绩差距的两倍（Tavernise，2012，A1）。

Finally, in the last several decades, educational success has differed on the basis of income. Students from affluent homes have always been more successful academically than contemporaries from low-income homes. However, this situation has been aggravated in the last decade. A study by a Stanford University sociologist maintains that the gap in standardized test scores between affluent and low-income students has grown by about 40 percent since the 1960s and is now double the testing gap between white and black students (Tavernise, 2012, A1).

学校为所有人服务，但并非所有人都为学校服务

Schools for All, but Not All for Schools

美国学校面临的困境是，进入专业领域和许多其他高薪工作需要学校授予的资格证书成功完成学业的个人。然而，并非所有学生都能平等地完成学业。首先，人们的智力存在差异，这当然会影响他们的教育生涯。或许，与社会阶层和少数族裔地位相关的因素影响更大，这些因素往往会阻碍一些学生的进步。

The dilemma that American schools face is that entrance to the professions and many other kinds of high-paying jobs require the credentials that schools confer on the individual who successfully completes a course of study. However, the course of study is not equally attainable by all students. First, there are differences in intellectual abilities among people, which of course affect the outcome of their educational careers. Perhaps of greater impact are factors related to social class and minority status that tend to impede the progress of some students.

不同教育程度的收入和失业率

Earnings and Unemployment Rates by Educational Attainment

图 13.2

FIGURE 13.2

注：数据适用于25岁及以上人群。收入适用于全职工薪阶层。

Note: Data are for persons age 25 and over. Earnings are for full-time wage and salary workers.

美国劳工统计局www.bls.gov/emp/ep_chart_001.htm

Bureau of Labor Statistics www.bls.gov/emp/ep_chart_001.htm

由于种种原因，学校似乎无法惠及所有学生。其中一个原因是美国学校极其官僚化的架构，这往往会疏远来自底层阶级和少数族裔家庭的学生。尽管学校力求客观公正，但学生们不断接受的大量测试也歧视了底层阶级的孩子，因为他们的文化和经历不足以让他们做好参加竞争性考试的准备。同时，在选择学生进入大学预科或职业教育项目时，考试成绩被赋予了很大的权重，因此最终会影响学生的未来。最后，考试成绩持续较低的学生会形成低自尊，开始认为自己不够聪明，无法在学业上取得成就。这种自我实现的预言再次证明他们是正确的。冲突理论家认为，这一过程是为了“冷却”贫困人口，而这正在摧毁弱势学生改善社会地位的任何愿望。

Schools seem unable to work to the advantage of all students for a variety of reasons. One reason is the extremely bureaucratized structure of American schools, which tends to alienate students from lower-class and minority homes. The extensive testing that students continually undergo, although attempts are made for it to be objective and fair, also discriminates against lower-class children, whose culture and experiences do not prepare them for competitive test taking. At the same time, test scores are given much weight when it comes to channeling students into either college preparatory or vocational programs, so ultimately a student’s future is affected. Finally, students who consistently test low acquire a low self-image, coming to believe that they are not smart and cannot achieve academically. Again, this self-fulfilling prophecy tends to prove them right. Conflict theorists see in this process an attempt at “cooling out” the poor, which is destroying in disadvantaged students any aspirations they may have to better their social situation.

必须强调的是，无论是管理者还是教师，都不会刻意歧视某些学生。这仅仅是体制自我延续的本质。教师是学校的成功产物。他们很难知道如何接触到这样的学生：他们的背景并非将教育放在首位；他们缺乏书籍、杂志或报纸；他们的家长常年为经济问题而苦恼和担忧；他们的家中没有安静的学习角落；最重要的是，他们既不指望也不期望成功的求学生涯能带来更好的生活。

It must be emphasized that neither administrators nor teachers purposely or consciously discriminate against certain students. It is simply the nature of the system to be self-perpetuating. Teachers are successful products of the schools. It is difficult for them to know how to reach students who come from backgrounds in which education is not a foremost value; where books, magazines, or newspapers are unknown; in which parents are perennially frustrated and worried about money problems; in whose homes there are no quiet corners in which to study; and most important, in which there is neither hope nor expectation that a successful school career will lead to a better life.

图片 13.8许多研究表明，私立学校在教育公平方面比公立学校做得更好。主要原因是私立学校提供了更安全、更有纪律、更有序的环境，更有利于学习。

IMAGE 13.8 Many studies have suggested that private schools do better than public schools in educating all alike. The main reason is that they provide a safer, more disciplined, and well-ordered environment that is more conducive to learning.

图片 13.9新泽西州的一所特许学校。两张照片都展现了教育的功能，只是地点和设施有所不同。

IMAGE 13.9 A charter school in New Jersey. Both photos show the function of education; only the locales and the facilities differ.

由于社会成员精通学术科目（尤其是阅读、写作和数学）对社会至关重要，政府机构尝试了各种方案来改善公立学校。布什政府推出了“不让一个孩子掉队”计划，但该计划导致教师专注于帮助学生通过特定考试，有时甚至降低了标准。下一届政府试图推行改革，包括开设特许学校、按绩效支付教师工资、要求问责以及引入国家标准。然而，这些改革招致了教师工会和其他人士的强烈批评，他们认为这些改革是市场体系的一部分。

Because it is important for the society that its members be skilled in academic subjects—certainly in reading, writing, and mathematics—government agencies have tried a variety of programs for improving public schools. The Bush administration launched “No Child Left Behind,” but this program resulted in teachers focusing on preparing students to pass specific tests, thus sometimes lowering standards. The next administration was attempting to introduce reforms, including the opening of charter schools, paying teachers for performance, demanding accountability, and introducing national standards. However, these reforms elicited much criticism from teachers’ unions and others who consider these reforms part of a market system.

当代高等教育中的一些问题

Some Contemporary Issues in Higher Education

20世纪60年代至70年代，大学里爆发了大量学生骚乱。这些骚乱的起因有很多，大多反映了当时社会普遍存在的一些问题。学生们抗议不得人心的越南战争，尤其是征兵制。他们还表达了对社会对待少数群体（包括少数族裔、女性、同性恋者和残疾人士）的方式的不满。许多人被左翼政治所吸引，指出一些大学与政府、企业和商界之间存在着不健康的关系。最后，他们抗议高等教育中过度的官僚主义，反对学术自由的侵犯，并要求在大学生活中拥有更大的发言权。

During the decades of the 1960s and 1970s, universities witnessed a great deal of student unrest. There were a number of reasons for this unrest, mostly mirroring issues prevalent in the society at large. Students protested the unpopular war in Vietnam and particularly the military draft. Students also voiced their dissatisfaction with the way society was dealing with minorities, including racial minorities, women, homosexuals, and the physically disabled. Many were attracted to the political left, pointing out the unhealthy relationship of some universities with the government, corporate, and business communities. Finally, they agitated against what they perceived as an overwhelming bureaucratization of higher education, against what they saw as infringements of academic freedom, and for a greater voice in the life of the university.

许多批评人士认为，抗议活动的最终结果是各大学标准下降，以及人们对高等教育功能和目标的信心丧失。一项全国性测试显示，过去十年，大学毕业生识字率下降了40%。如今，教师学生们经常被指责为种族主义者、性别歧视者和同性恋恐惧症患者，或者向不情愿的学生灌输“政治正确”的思想。

According to many critics, the ultimate result of the protests has been a lowering of standards across the spectrum of universities and a loss of confidence in the functions and goals of higher education. According to a national test, over the last decade, the percentage of college graduates considered literate has decreased by 40 percent. Today, faculty and students are often accused either of being racist, sexist, and homophobic or of pushing “politically correct” ideas down the throats of unwilling students.

遗憾的是，目前尚无统一的方法来衡量大学在教育学生方面的表现。关于高等教育改革的建议包括：需要像大多数其他工业化国家一样，在K-12教育体系之间建立更紧密的协调；要求大学对其录取的学生类型承担更多责任，高中对其毕业生类型承担更多责任。此外，还有建议根据学生家庭需要为其提供资助；设法限制学费上涨；并要求学校通过全国考试来证明学生的学业成绩，并将考试结果向公众公布。

Unfortunately, there is no coherent way to measure the performance of colleges in educating students. Suggestions for changes in higher education include the need to establish closer coordination between the K–12 systems, as is the case in most other industrialized nations, and demands for more accountability on the part of colleges in the kinds of students they admit and on the part of high schools for the kinds of students they graduate. In addition, there are suggestions that assistance be given to students on the basis of family need; that a way be found to limit tuition increases; and that schools be required to demonstrate student achievement by means of national examinations, with results available to the public.

美国教育面临的另一个问题是，许多过去需要大学学位的工作现在都由计算机完成。不仅制造业和许多体力劳动正在实现自动化和外包，而且，早些年，法律研究需要大批律师和律师助理，而如今，计算机可以在极短的时间内分析数百万份文件，而且无需付费。医学和工程领域也是如此。计算机和电信的结合使得许多服务能够在全球范围内提供，而且许多国家的高学历工人比美国更便宜。因此，一些经济学家得出结论，仅仅依靠教育来提供高薪工作是一种过时数十年的幻想（克鲁格曼，2011）。

Another problem that faces American education is the fact that many jobs that required a college degree in the past are now done by computer. Not only manufacturing and many manual jobs are being automated and outsourced, but whereas in earlier years, batteries of lawyers and paralegals were needed to do legal research, today computers can analyze millions of documents in very little time—and without having to be paid. The same is true in medicine and engineering. The combination of computers and telecommunications makes it possible to provide many services internationally, and highly educated workers are cheaper in many countries than in the United States. Several economists have therefore concluded that betting on education alone to provide high-paying jobs is an illusion that is decades out of date (Krugman, 2011).

鉴于我们的社会面临的诸多问题，以及世界战争频发、失业率高企、经济疲软、预算赤字高企以及恐怖主义恐惧等因素，我们很难指望教育机构能够得到应有的优先关注。

In view of the many problems that our society is facing, and the world busy with wars, high unemployment numbers, weak economies, high budget deficits, and fear of terrorism, it is difficult to hope that the educational institution will receive the priority of attention it needs and deserves.

宗教存在于每个社会，因为人类作为有思维能力的动物，对生命的意义和目的充满好奇。然而，社会学家研究宗教仅仅将其视为文化的一种表现形式，旨在揭示其相互关系、影响和行为。

Religion has been found in every society because, as thinking animals, humans are curious about the meaning and purpose of life. However, sociologists study religion only as a manifestation of culture and to uncover relationships, effects, and behavior.

世界主要宗教可分为一神教、多神教、伦理教和祖传宗教。一神教包括基督教，其信徒最多，其次是伊斯兰教和犹太教。印度教是最大的多神教；佛教、儒教和道教是伦理教。日本人信奉的神道教是一种祖传宗教。

The major religions of the world may be categorized into monotheistic, polytheistic, ethical, and ancestral. The monotheistic religions include Christianity, with the largest membership, followed by Islam and Judaism. Hinduism is the largest polytheistic religion; Buddhism, Confucianism, and Taoism are ethical religions. Shintoism, practiced by the Japanese, is an ancestral religion.

社会科学家最初研究宗教时，认为它是人们试图解释他们无法理解的现实的结果。他们认为宗教关乎神圣，宗教信仰和实践的对象是社会本身。这种观点已被纳入功能主义理论，该理论家认为宗教的功能包括缓解挫折感、解释物质世界、维护社会规范和价值观、提供忏悔的途径以及在人生的艰难阶段提供帮助。

Religion, when first studied by the social scientists, was considered to be the result of people’s attempts to explain a reality they did not understand. It was suggested that religion dealt with the sacred and that the object of religious beliefs and practices was society itself. This viewpoint has been incorporated into the theory of functionalism, whose theorists assume that the functions of religion include relief of feelings of frustration, explanations of the physical world, the support of norms and values of society, provision of a means for repentance, and help during the difficult stages of life.

卡尔·马克思的思想是宗教冲突论的先驱。马克思认为，宗教和上帝的观念都是人类的创造，但人们忘记了他们发明了上帝，并开始敬畏上帝。恐惧导致异化，马克思认为宗教是最令人异化的制度，尤其因为它允许社会统治阶级剥削大众，并通过维护现状将大众置于从属地位。然而，马克思没有考虑到宗教也具有促进社会和谐的功能。变革，往往是为了造福受压迫的人们。宗教也发挥着创造意义的作用，因此反映了每种文化。一项著名的研究，《新教伦理与资本主义精神》（韦伯，1905），追溯了资本主义的兴起，认为这是新教（尤其是加尔文主义）宗教思想的影响。宗教思想除了强化社会规范、使领导人的政治权力和机构的行为要求合法化之外，还促进了社会变革。

The ideas of Karl Marx were forerunners of the conflict position with regard to religion. Marx believed that religion and the idea of God were human creations, but that people forgot they invented God and began to fear Him. Fear produced alienation, and Marx considered religion as the most alienating of institutions, especially because it allowed the dominant classes in society to exploit the masses and keep them in subordinate positions by defending the status quo. However, Marx did not consider that religion also functions to promote social change, often to the benefit of the downtrodden. Religion also functions as a creator of meaning and thus is a reflection of each culture. A famous study, The Protestant Ethic and the Spirit of Capitalism (Weber, 1905), traced the rise of capitalism as an effect of the religious ideas of Protestantism, especially of Calvinism. Religious ideas contributed to change in society in addition to enforcing the norms of society, legitimizing the political power of leaders and the behavioral demands of institutions.

宗教在社会中持续发挥着作用。其中之一就是通过宗教团体成员身份赋予人们身份认同和社群感。所有宗教都体现着信仰、仪式和组织。宗教组织分为教会、教派和教派。美国的宗教是宗派性的，其成员招募和留住信徒的方式多种多样。

Religions continue to have functions in society. One of these functions is to provide an identity and a feeling of community to people through membership in religious groups. All religions display beliefs, rituals, and organization. Religious organizations are divided into churches, sects, and cults. Religion in America is denominational, and the methods of the marketplace are used to recruit and hold members.

现代宗教的趋势包括世俗化和官僚化。宗教组织类似于其他类型的志愿协会，致力于心理健康、家庭团聚和社会福利。对这种灵性缺失的反应，可以从五旬节派和福音派性质的宗派运动的兴起中看出。

Modern trends in religion include secularization and bureaucratization. Religious organizations resemble other kinds of voluntary associations that deal with mental health, family togetherness, and social welfare. A reaction to this lack of spirituality may be seen in the emergence of a number of sectarian movements of a Pentecostal and evangelical nature.

教育的制度化比其他关键制度晚得多。由于人类缺乏高度发达的本能，他们积累的关于群体生存的知识，以及所有使生活更轻松所需的技术，都必须一代一代地传承下去。然而，在传统的前工业社会中，文化的传承发生在家庭内部。它主要包括传授在社会中生存所需的技能，以及礼仪和宗教神话的知识。这些知识很容易在孩子们的日常生活中被吸收，他们追随父母并试图模仿他们。这些学习大多发生在非正式的社会化过程中。换句话说，教育根植于家庭制度之中。

Education was institutionalized much later than the other pivotal institutions. Because humans lack highly developed instincts, the knowledge they accumulate about survival in groups, as well as all the technology necessary to make life easier, must be transmitted to each new generation. However, in traditional, preindustrial societies, the transmission of culture occurred within the family. It consisted mainly of the teaching of skills necessary for survival in the society, as well as knowledge of ritual and religious myths. This knowledge was easily absorbed as children went about the business of living, following their parents and trying to imitate them. Most of this learning took place during the process of informal socialization. In other words, education was embedded in the family institution.

随着社会日益复杂，非正式的社会化体系已不再适用。孩子们无法追随父母步入职场。此时，一种更为正式的学习方式应运而生，由经过专门培训的人员向年轻人灌输技能、价值观和具体的知识体系。围绕这种正式的社会化方式发展起来的习惯和传统——也就是学校教育——如今已成为我们所说的教育机构。

As societies grew more complex the informal socialization system was no longer adequate. Children could not follow their parents into the workplace. At this point, a more formal kind of learning had to be instituted, in which specially trained individuals instilled skills, values, and a concrete body of knowledge in the young. The habits and traditions that evolved around this formalized type of socialization—otherwise known as schooling—have become the institution we call education.

教育的主要功能是将知识代代相传。教育也有助于招募学生，培养他们适应外部世界的社会和职业角色；将各种亚文化融入更广泛的文化；最终，通过研究创造新的知识。学校还承担着监护的职能，促进青年亚文化的形成，有时还能有效地改变人们的态度。

The transmission of knowledge from one generation to the next is the primary function of education. Education also functions to recruit and prepare students for social and occupational roles in the outside world, to integrate into the wider culture the various subcultures that are part of it, and finally, to generate new knowledge through research. Schools also perform custodial functions, contribute to the formation of a youth subculture, and sometimes effectively change attitudes.

学业成功的最佳预测指标是社会经济地位，而社会经济地位又受家庭因素影响。这并非直接的经济关系，而是考虑到家庭生活方式、沟通方式、父母的价值观和期望等方面的差异。中产阶级家庭会为孩子在学校的成功经历做好准备，因为孩子们会由拥有相似文化目标和期望的中产阶级教师授课。下层阶级家庭的生活并不能为孩子在学校的成功经历做好充分的准备，而且由于大量少数族裔仍然处于下层阶级和工人阶级，他们在学业上通常最不成功（新移民除外，他们主要是亚裔，他们将教育视为向上流动的途径，并且在学业上拥有很高的成功率）。

The best predictor of academic success is socioeconomic status, which is a function of the family. This is not a direct economic relationship but rather takes into account differences in family lifestyles, in styles of communication, in values and expectations of parents, and so on. Middle-class families prepare their children for a successful experience in school, where they are taught by middle-class teachers with similar cultural goals and expectations. Life in the lower-class family does not adequately prepare a child for a successful school experience, and because a large number of minorities are still positioned in the lower and working classes, they have been generally the least successful in academic pursuits (exceptions are the new immigrants, prevailingly Asian, who value education as an avenue for upward mobility and who have high rates of success in academia).

尽管教育一直被认为是通往向上流动的大门——对很多人来说确实如此——但高中和大学毕业生数量的增长已经开始改变这种关系。许多其他因素似乎也影响着人们获得的工作类型。因此，我们有必要重新思考我们的教育目标。

Although education has been considered the gateway to upward mobility—and for many people it has been—the increase in the number of high school and college graduates has begun to change this relationship. Many other factors seem to be responsible for the kinds of jobs people get. Thus, a rethinking of what our educational goals should be is in order.

如今，高等教育非但不能培养全面发展的个性，反而导致狭隘的专业化和职业化。二战后，由于《退伍军人权利法案》（GI Bill），大学经历了繁荣时期；20世纪60年代，由于人口因素，大学再次繁荣。如今，由于经济疲软和就业困难，入学人数再次居高不下。然而，很少有美国人获得研究生学位，尤其是在自然科学领域。女性，尤其是黑人女性，在获得学士及以上学位方面取得了惊人的成功。

Higher education, instead of leading to a well-rounded personality, now leads to a narrow specialization and professionalization. Universities experienced a boom after World War II as a result of the GI Bill, and again in the 1960s because of demographic factors. Now enrollments are high again because of the weak economy and the difficulty of finding jobs. However, few Americans are receiving postgraduate degrees, particularly in the hard sciences. Women, especially black women, have been spectacularly successful in obtaining bachelor’s degrees and higher.

过去几十年，美国尝试了各种改革措施，力图改善教育。可惜的是，迄今为止，这些改革似乎都未奏效，这可能是因为社会普遍存在的反智价值观，以及家长们的冷漠——而这些家长们正是同一教育体系的产物。

A variety of reforms have been tried in the past decades in an effort to improve American education. Unfortunately, to date nothing seems to have worked, possibly because of the anti-intellectual values prevalent in the society and the apathy of parents, products of the same educational system.

万物有灵论 相信世界上许多物体都有灵魂居住。

animism Belief that many objects in the world are inhabited by spirits.

教会一个制度化的、很好地融入社会经济生活并且人们参与其中成为常规的宗教组织。

church A religious organization that is institutionalized and well integrated into the socioeconomic life of a society and in which participation is routine.

邪教： 最不传统、最不制度化的宗教组织。它由一群追随者组成，他们聚集在一个领导者周围，而领导者的教义与教会或教派的教义大相径庭。

cult The least conventional and least institutionalized of religious organizations. It consists of groups of followers clustered around a leader whose teachings differ substantially from the doctrines of the church or denomination.

教派教会的一个分支，被认为与教会具有同等效力。

denomination A subdivision of the church that is considered equally as valid as the church.

教会绝大多数人口所属的教会。

ecclesia A church to which a substantial majority of the population belongs.

教育社会化的正式方面，其中特定的知识和技能由专家刻意传授。

education The formal aspect of socialization in which a specific body of knowledge and skills is deliberately transmitted by specialists.

道德宗教 强调需要过道德生活以达到个人生活和社会和谐的宗教（佛教、儒教、道教）。

ethical religions Those that stress the need to live an ethical life so as to attain harmony in personal life and in society (Buddhism, Confucianism, Taoism).

潜在功能 这些功能是教育过程的非预期结果。

latent functions Those functions that are the unintended consequences of the process of education.

法力一种概念，认为存在一种超自然力量，可以作用于任何人、物体或事件。

mana A concept according to which there exists a supernatural force that can attach to any person, object, or event.

显性功能 教育最重要的和预期的功能是完成从家庭内部开始的社会化过程。

manifest functions The most important and intended functions of education—completing the socialization process begun within the family.

一神论 相信一个上帝的存在（犹太教、基督教、伊斯兰教）。

monotheism Belief in the existence of one God (Judaism, Christianity, Islam).

多神教 相信多神的存在（印度教）。

polytheism Belief in the existence of many gods (Hinduism).

世俗的日常生活中的物体和事件是常见的、通常的、可解释的和重复的。

profane The objects and events of everyday life that are common, usual, explainable, and repetitive.

成年礼 围绕成长和成熟的关键时期建立的仪式：出生、青春期、结婚和死亡。

rites of passage Rituals established around critical times of growth and maturation: birth, puberty, marriage, and death.

仪式神圣性产生之后的行为，并提供维护神圣性的机制。

ritual Behavior that follows the creation of sacredness and provides a mechanism for maintaining the sacred.

神圣：指与世俗截然不同的事物、事件或人物，即那些不寻常、不寻常、无法解释、神秘、强大，因此值得崇敬和尊重的事物。宗教与神圣相关。

sacred Objects, events, or persons distinct from the profane, that is, that are uncommon, unusual, unexplained, mysterious, powerful, and therefore deserving of reverence and respect. Religion deals with the sacred.

教派： 一种脱离教会或教派的革命性宗教组织。它强调宗教的精神，而非文字。

sect A religious organization that is a revolutionary movement breaking away from the church or denomination. It stresses the spirit, rather than the letter, of religion.

自我实现的预言 研究支持的观点是，如果教师像对待聪明能干的学生一样对待学生，那么学生的表现就会达到教师的期望，反之亦然。

self-fulfilling prophecy The research-supported idea that if teachers treat students as if they were bright and capable, students will perform up to the teachers’ expectations, and vice versa.

跟踪根据学生能力对学生进行分组。

tracking The grouping of students according to their ability.

普世教会 ：垄断宗教信仰的教会。国教。

universal church An ecclesia that has a monopoly on religious belief. A state religion.

Bowles, Samuel 和 Herbert Gintis。1976。《资本主义美国的学校教育：教育改革与经济生活的矛盾》。纽约：Basic Books出版社。

Bowles, Samuel, and Herbert Gintis. 1976. Schooling in Capitalist America: Educational Reform and the Contradictions of Economic Life. New York: Basic Books.

Collins, Randall。1979。《证书社会：教育与阶层划分的历史社会学》。纽约：Academic Press。

Collins, Randall. 1979. The Credential Society: An Historical Sociology of Education and Stratification. New York: Academic Press.

涂尔干，埃米尔。1912/1947。《宗教生活的基本形式》。重印版。纽约：自由出版社。

Durkheim, Emile. 1912/1947. The Elementary Forms of Religious Life. Reprinted Edition. New York: Free Press.

教育周刊。2014 年。www.edweek.org/ew /toc/2014/06/ 05。

Education Week. 2014. www.edweek.org/ew/toc/2014/06/05.

哈里斯互动民意调查。2003 年。“虽然大多数美国人信仰上帝，但只有 36% 的人每月参加一次或多次宗教仪式。”10 月 15 日。https://nces.ed.gov/pubsearch/pubsinfo.asp? pubid=2014083 。

Harris Interactive Poll. 2003. “While Most Americans Believe in God Only 36% Attend a Religious Service Once a Month or More Often.” October 15. https://nces.ed.gov/pubsearch/pubsinfo.asp?pubid=2014083.

克鲁格曼，保罗。2011年。“学位与美元”。《纽约时报》，3月7日，第A19页。

Krugman, Paul. 2011. “Degrees and Dollars.” The New York Times, March 7, p. A19.

McCready, William C. 和 Andrew M. Greeley。1976 年。《美国人口的终极价值》。加州贝弗利山：Sage 出版社，第 23 页。

McCready, William C., and Andrew M. Greeley. 1976. The Ultimate Values of the American Population. Beverly Hills, CA: Sage Publications, p. 23.

McGuire, Meredith B. 1987.宗教：社会背景，第 2 版。Belmont, CA: Wadsworth。

McGuire, Meredith B. 1987. Religion: The Social Context, 2nd ed. Belmont, CA: Wadsworth.

马克思、卡尔和弗里德里希·恩格斯。 1964.论宗教。纽约：舍肯图书出版社。

Marx, Karl, and Friedrich Engels. 1964. On Religion. New York: Schocken Books Press.

美国国家教育统计中心。2014年。“2014年教育状况”。5月28日，年度报告计划。

National Center for Education Statistics. 2014. “The Condition of Education 2014.” May 28, Annual Reports Program.

O'Dea, Thomas F. 1966.宗教社会学。新泽西州恩格尔伍德克利夫斯： Prentice-Hall。

O’Dea, Thomas F. 1966. The Sociology of Religion. Englewood Cliffs, NJ: Prentice-Hall.

O'Dea, Thomas F. 和 Janet O'Dea Aviad。1983。《宗教社会学》，第二版。新泽西州恩格尔伍德克利夫斯：普伦蒂斯霍尔出版社。

O’Dea, Thomas F., and Janet O’Dea Aviad. 1983. The Sociology of Religion, 2nd ed. Englewood Cliffs, NJ: Prentice-Hall.

皮尤研究中心。2013 年。“事件记录：美国宗教趋势”8 月 19 日。www.pewforum.org/ 2013/08/19/event-transcript-religion-trends-in-the-us/ 。

Pew Research Center. 2013. “Event Transcript: Religion Trends in the U.S.” August 19. www.pewforum.org/2013/08/19/event-transcript-religion-trends-in-the-u-s/.

Tavernise, Sabrina。2012年。“研究表明，贫富教育差距扩大。” 《纽约时报》，2月9日，A1页。

Tavernise, Sabrina. 2012. “Education Gap Grows Between Rich and Poor, Studies Say.” The New York Times, February 9, p. A1.

美国人口普查局。2013 年。美国社区调查（ACS）。www.census.gov/ programs-surveys/acs/ 。

U.S. Census Bureau. 2013. American Community Survey (ACS). www.census.gov/programs-surveys/acs/.

韦伯，马克斯。1905。《新教伦理与资本主义精神》。伦敦和波士顿：昂温·海曼，1930年。

Weber, Max. 1905. The Protestant Ethic and the Spirit of Capitalism. London and Boston: Unwin Hyman, 1930.

www.rand.org/topics/education-reform.html

达林-哈蒙德，琳达。2010年。《平坦的世界与教育：美国对公平的承诺将如何决定我们的未来》。纽约：教师学院出版社。作者在其新书中提出了一个大胆而令人担忧的要求：美国学区应获得平等的资金，教师应接受更好的培训并获得更高的薪酬。她介绍了全球各地成功的教育策略，并坚持认为，除非我们为不同时代设计的教育体系不进行变革，否则我们将失去世界领导者的地位。

Darling-Hammond, Linda. 2010. The Flat World and Education: How America’s Commitment to Equity Will Determine Our Future. New York: Teachers College Press. In her latest book, the author makes a bold and scary demand: that American school districts be funded equally, and that teachers be trained better and paid higher salaries. She describes successful educational strategies from around the globe and maintains that unless our system, designed for a different time, is not transformed, we will lose out as world leaders.

希钦斯，克里斯托弗。2007。《上帝不伟大：宗教如何毒害一切》。纽约：十二/华纳图书。一位不敬虔、受过良好教育的作家，以不敬虔却又引人入胜的视角审视宗教。

Hitchens, Christopher. 2007. God Is Not Great: How Religion Poisons Everything. New York: Twelve/Warner Books. An irreverent but entertaining look at religion by an irreverent and well-educated author.

黛安·拉维奇，2010年。《伟大的美国学校体系的生与死：考试和选择如何破坏教育》。纽约：Basic Books出版社。作者被认为是一位公共知识分子，曾任教育部助理部长，当然也是一位该领域的学者。本书她反对教育界的潮流，并用轶事、案例研究和统计数据来佐证她的观点。本书颇具争议，但可读性极佳。

Ravitch, Diane. 2010. The Death and Life of the Great American School System: How Testing and Choice Are Undermining Education. New York: Basic Books. The author is considered a public intellectual who was an assistant secretary of education, and certainly a scholar in the field. Here she speaks against fads in education, and uses anecdotes, case studies, and statistics to prove her points. Controversial, but eminently readable.

罗斯，迈克尔。2009年。《为什么上学？》纽约：新出版社。作者提出了一个最重要的问题：受教育意味着什么？他挑战了我们当前狭隘的教育观念，并提醒我们教育的真正含义：个人的智力、社会和道德发展。

Rose, Michael. 2009. Why School? New York: New Press. The author asks the most important question: What does it mean to be educated? He challenges our current narrow view of education and reminds us of what education should mean: the intellectual, social, and ethical development of the individual.

许多网站有助于了解这两个机构：

A number of Web sites are helpful in the understanding of these two institutions:

www.ed.gov/p-12-reform

www.edreform.com/issues/

Government: The Institution and the Theories and Ideologies That Underlie It

在本章中，你将学习

IN THIS CHAPTER, YOU WILL LEARN

• 政府机构出现的原因；

• the reason for the emergence of the institution of government;

• 政府的目的和职能；

• the purpose and functions of government;

• 合法性和权威在行使政治权力中的重要性，以及权力的类型；

• the importance of legitimacy and authority in the exercise of political power, as well as the types of authority;

• 国家与政府之间的差异；

• the differences between the state and government;

• 民族国家的定义；

• the definition of a nation–state;

社会运动、政府和经济行为都以意识形态为基础；

• that social movements, governments, and economic behavior are based on ideologies;

• 专制意识形态和民主意识形态之间的差异；

• the differences between autocratic and democratic ideologies;

• 关于右翼占主导地位的极权主义意识形态以及它所催生的社会运动；

• about the dominant totalitarian ideology of the right and the social movement it spawned;

• 关于左翼占主导地位的极权主义意识形态以及随之而来的社会运动；

• about the dominant totalitarian ideology of the left and the social movements that followed; and

• 民主意识形态及其资本主义和民主社会主义子意识形态的原则。

• the principles of the democratic ideology and of its sub-1ideologies of capitalism and democratic socialism.

格政府从未远离我们的思绪。怎么可能不如此呢？如果没有政府机构的批准，我们未成年就不能开车、投票或喝酒。我们无法决定未满16岁就不去上学：政府机构会派逃课官员来找我们，把我们带进教室。我们不能把音乐开到最大声，因为如果邻居抱怨，政府机构会要求我们调低音量，或者以扰乱治安的罪名把我们关进监狱。我们不能建造任何我们想要的房子，即使是在自己的地块上：政府机构首先会确保满足某些分区规定。而这些只是政府干预的几个小例子。政府决定谁是公民，谁可以在国家投票或工作，谁可以领取失业补偿或残疾抚恤金。政府想知道一个孩子是否出生，谁去世了，以及死亡发生在何处以及如何发生。简而言之，政府无处不在；它以千百万种方式触及我们的生活，深入到我们的厨房和卧室。我们为什么允许它这样做呢？我们为什么需要它？政府到底是什么？

G overnment is never very far from our thoughts. How could it be otherwise? We cannot drive a car, vote, or have a drink if we are underage without a government agency’s okay. We cannot decide that we will not attend school if we are under 16: a government agency will send truant officers to find us and bring us into the classroom. We cannot play our music full blast because if a neighbor complains, an agency of government will make us turn it down or haul us off to jail for disturbing the peace. We cannot build any kind of house we want, even on our own lot: a government agency will first ensure that certain zoning regulations are satisfied. And these are just minor examples of government interference. Government decides who is a citizen, who can vote or work in the country, who is to obtain unemployment compensation or disability pensions. Government wants to know if a child is born, and who dies, as well as where, and how death takes place. In short, government is everywhere; it touches our lives in a million ways, reaching into our very kitchens and bedrooms. Why do we let it? Why do we need it? What is government, anyway?

政府机构

The Institution of Government

请记住，关键的制度都围绕着人类的重要需求而运转。人类作为生物体，其基本先决条件之一是每日获得水和食物的供应，以及一些遮蔽物和庇护所，以抵御风雨。同样重要且紧迫的是，需要能够在一个足够有序的环境中生存，免受外敌侵害。在小群体中，这些需求很容易得到满足，且不会发生太多冲突。当小群体由数百人组成时，情况就变得更加复杂。也就是说，当食物需要种植而非简单的采集，物品需要制造而非简单的寻找——简而言之，当氏族或部落定居于一种永久的生活方式时——就必须建立一个流程，以便为群体利益做出重要决策。这一流程由组织行为模式构成，最终具体化为经济和政府机构。反过来，这些模式及其组织又受到每个社会普遍存在的意识形态的塑造和支撑。

Remember that pivotal institutions revolve around important human needs. One fundamental prerequisite of humans as biological organisms is a daily supply of water and food and some covering and shelter from the elements. Just as important and urgent is the need to be able to live in a sufficiently orderly environment, protected from outside enemies. In small groups, these needs are satisfied simply and without much conflict. When small groups of individuals become hundreds, matters become more complex. That is, when food is grown and not simply gathered, when objects are manufactured not simply found—in short, when clans or tribes settle into a permanent lifestyle—then a process must be instituted for making important decisions for the benefit of the group. This process consists of organizational patterns of behavior that eventually crystallize into the institutions of the economy and government. In turn, these patterns and their organization are shaped and buttressed by the ideologies prevalent in each society.

政府与政治

Government and Politics

谁能获得社会的哪些回报，以及他们为何获得这些回报，其决定权在于经济制度本身。经济决策以及所有影响社会的决策的执行，都由政府制度负责。两者制度错综复杂，相互交织。它们包含一系列行事模式和传统，也包括人民，即一个拥有权威和足够权力的代表机构，以确保社会做出的决策得到执行、尊重和服从。

The decision of who gets what of a society’s rewards, and why they get it, is inherent in the institution of the economy. The implementation of the economic decisions and of all decisions that affect the society is left up to the institution of government. The two institutions are deeply intertwined. They consist of a number of patterns and traditions for getting things done. They also include people, a body of representatives with the authority and sufficient power to see to it that decisions made for the society are carried out, respected, and obeyed.

图片 14.1美国国会大厦是我们政府的象征之一。

IMAGE 14.1 The U.S. Capitol building is one of the symbols of our government.

iStock：© Veni

iStock: © Veni

在大多数现代社会中，最终权力的源泉是国家，因为它垄断了其境内的武力使用。然而，国家是一个抽象的概念；真正的日常权力行使是由政府进行的，政府由一些以国家名义掌权的个人组成。一些人或群体获取并维持权力的过程被称为政治。

In most modern societies, the source of ultimate power is the state because it has a monopoly on the use of force within its borders. The state, however, is an abstract concept; the real day-to-day exercise of power is done by the government, which consists of a number of individuals who hold power in the name of the state. The process by which some people or groups acquire and maintain power is called politics.

政府，即制度，可以被定义为社会为了满足内部秩序和抵御外部威胁的需求而发展起来的地位和角色模式。它包括一套规范、价值观、法律和普遍行为模式，使权力的获取和行使合法化。该制度还决定了政府与社会成员的关系。重要的是要记住，治理的本质在于控制，而政府也可以被定义为在特定领土范围内合法使用武力来控制人类行为。

Government, the institution, may be defined as the pattern of statuses and roles that a society develops to fulfill the need for order within and the need for defense against threats from without. It includes a system of norms, values, laws, and general patterns of behavior that legitimize the acquisition and exercise of power. The institution also determines the relationship of the government to the members of society. It is important to remember that, in essence, to govern means to control, and government can also be defined as the legitimate use of force to control human behavior within specific territorial boundaries.

政府的目的

The Purpose of Government

社会需要政府，因为群体生活方式需要一定程度的社会秩序。为了防止混乱并维持相对和平，有些事情人们必须做，有些事情人们必须避免。在小型社会中，家庭制度足以通过道德控制来维持对其成员的社会控制。道德控制本质上是一种文化学习，存在于个人内心，并通过社会化而内化。

Societies need government because a group way of life requires a certain degree of social order. There are some things people must do and others they must refrain from doing to prevent chaos and maintain relative peace. In small societies, the family institution is sufficient to maintain social control over its members by exercising moral control. Moral control, which is essentially cultural learning, lies within the individual, having been internalized through socialization.

当社会规模变大、复杂时，其他机构——宗教、教育和政府——必须通过实施社会控制来承担维护社会秩序的部分职能。社会控制是指群体通过强制执行禁忌、习俗和民俗，诱导或强迫个人按照指定方式行事的过程。在庞大而复杂的社会中，道德控制和社会控制必须辅以政治控制。政治控制是由个人以外的力量施加的社会控制，例如法律和负责惩罚违法者的机构。

When societies grow large and complex, other institutions—religion, education, and government—must take over some of the functions of maintaining social order by exercising social control. Social control is the process by which a group induces or forces the individual to behave in a designated way by enforcing taboos, mores, and folkways. In large, complex societies, moral control and social control must be supplemented by political control. Political control is social control exerted by forces outside the individual, such as laws and agencies in charge of punishing those who violate laws.

政府职能

The Functions of Government

政府最重要的职能是实施政治控制。这包括维持秩序、解决争端以及协调社会成员的活动。此外，政府还必须保护公民免受外部威胁。政府通过建立和维持军队、为军队提供武器以及保障战略军事设施的安全来实现这一目标。在某些社会中，军事机构本身就充当着政府的角色。然而，在大多数社会中，政府由文官掌管，军队则服从于政府。

The most important function of government is to implement political control. This involves maintaining order, settling disputes, and coordinating the activities of members of society. In addition, government must protect citizens from external threats. It does this by creating and maintaining armies, by providing such armies with weapons, and by securing strategic military installations. In some societies, the military institution itself acts as the government. In most, however, civilians are in charge of the government, and the military is subordinate to it.

政府还负责规划和维护那些涉及大量人口的设施和活动。政府机构负责调控经济、修建高速公路、负责交通管理、资助学校、维护国家公园和博物馆、协助运营部分医院、提供部分医疗保健等等。政府还补贴那些受社会重视但私营部门不参与的活动，例如艺术。上述职能是显而易见的，或者说是经过深思熟虑的。

The government is also in charge of planning and maintaining those facilities and activities that involve large portions of the population. Government agencies regulate the economy, build highways, are in charge of traffic regulation, fund schools, maintain national parks and museums, help run some hospitals, provide some health care, and so on. Government also subsidizes activities that are valued by the society but the private sector does not pursue, such as the arts. The preceding functions are manifest, or deliberate.

政府的非预期或潜在职能往往包括大量的镇压。然而，在美国，政府的镇压却很少。其潜在职能包括组建政党机器，这过去，这种现象很常见，而且据称存在着权力精英，他们致力于维持现状，包括社会分层制度。即使在那些自认为没有阶级的国家，也存在着行政和管理精英。政治权力与社会经济地位之间的关系在任何地方都根深蒂固。

The unintended, or latent, functions of government have often included a great deal of repression. In the United States, however, governmental repression has been minimal. Latent functions here have included the formation of party machines, which were common in the past, as well as the alleged existence of power elites that act to maintain the status quo, including a system of social stratification. Even in nations that consider themselves classless, administrative and managerial elites have come into existence. The relationship between political power and socioeconomic status is entrenched everywhere.

政治权力：合法性与权威

Political Power: Legitimacy and Authority

权力是政治进程的核心，因为在社会中，任何行使政治控制权的人都必须拥有行使权力的权力。权力是一个难以定义的概念。早期社会学家马克斯·韦伯将其定义为“社会关系中，一个行为体能够不顾阻力地实现自身意愿的可能性”（Weber，1957，152）。权力是各种社会互动中的重要因素。父母对子女拥有权力，教授对学生拥有一定程度的权力，雇主对员工拥有权力，等等。人们拥有的权力大小取决于他们在社会中所处的地位和所扮演的角色。

Power is central to the political process because whoever exerts political control in a society must have power to do so. Power is a difficult concept to define. The early sociologist Max Weber defined it as “the probability that one actor within a social relationship will be in a position to carry out his own will despite resistance” (Weber, 1957, 152). Power is a significant factor in all kinds of social interaction. Parents have power over their children, professors have a certain degree of power over students, employers have power over employees, and so on. People have greater or lesser amounts of power according to the statuses they occupy in society and the roles they fill.

权力关系在某种程度上总是相互的。也就是说，孩子对父母有一定的权力：他或她可以发脾气，或者拒绝进食，直到父母让步。员工可以“带走”办公用品或产品，或者虚报报销账单。学生可以奉承老师，以提高及格或高于平均水平的成绩。简而言之，在大多数互动中，都有办法破坏掌握权力的人。

Power relationships are always somewhat reciprocal. That is, the child has some power over the parent: he or she can throw a temper tantrum or refuse to eat until the parent gives in. An employee can “take home” office supplies, or products, or pad expense accounts. A student can flatter the instructor to improve chances of a passing or above-average grade. In short, there are ways of sabotaging the power-holding individual in most interactions.

权力可以通过多种方式来行使。一种是承诺给予奖励以换取服从。另一种是胁迫或以惩罚相威胁不服从的人。最后，权力可以通过影响力来行使，即操纵信息或影响价值观、态度和情感。电视评论员和权威人士、社交媒体上的知名人士以及一些作家对许多人拥有影响力，因为他们的言论被广大公众视为权威。政治领袖也具有类似的影响力。

Power can be asserted in a number of ways. One way is to promise a reward in return for compliance. Another is to coerce, or threaten with punishment, the individual who does not comply. Finally, power can be asserted through influence, by being able to manipulate information or to have an effect on values, attitudes, and feelings. Television commentators and pundits, popular individuals on social media, and some authors have power over many people because their statements are accepted as authoritative by a large public. Political leaders have a similar effect.

合法性

Legitimacy

政治权力是国家通过其政府行使的权力。国家之所以能够行使权力，是因为人民接受其权威。当权力掌握在社会成员无法接受的个人或群体手中时，就会被视为非法且不合法。这种权力是一种胁迫，就像一个武装暴徒向手无寸铁的受害者索要钱包一样。

Political power is power exercised by the state through its government. The reason the state can wield power is that people accept its authority. When power is held by an individual or group that is not acceptable to the members of society it is considered illegal and illegitimate. This kind of power is coercion, as when an armed thug demands the wallet of an unarmed victim.

权威

Authority

权力要合法，必须具备权威性。权威是指社会公认且正当的、凌驾于个人之上的权力或控制。一名警官在试图逮捕嫌疑人时持枪指着嫌疑人，这并非强制力，因为这是警官的权利，是其身份赋予的权威所赋予的（然而，警官必须牢记，在法庭宣判有罪之前，嫌疑人不被视为有罪）。另一方面，一名公民从事同样的活动，则构成犯罪，因为公民无权持枪指着任何人（自卫除外）。换句话说，权威是权力的合法拥有。

For power to be legitimate, it must have authority. Authority is power over, or control of, individuals that is socially accepted as right and proper. A police officer who holds a gun to a suspect while trying to make an arrest is not displaying coercive power because it is the right of the officer to do so, inherent in the authority vested in his or her status (however, the officer must be mindful of the fact that the suspect is not considered guilty until proven guilty by a court of law). A private citizen engaged in the same activity, on the other hand, is committing a crime, because the citizen has no authority to hold a gun to anyone (except in self-defense). In other words, authority is the legitimate possession of power.

政府必须拥有合法权威才能被接受。也就是说，公民必须相信“现有的政治制度是最适合其统治的制度”。合法性危机是当今社会的一个普遍现象，它要求人们必须维护和维护合法性，即“一个合法性社会”（Lipset，1963，64）。任何政治体制，即使是建立在暴力基础上并通过武力运作的体制，如果没有合法性就不可能长期存在。当人们质疑其政府的合法性时，这种情况就被称为合法性危机，通常以推翻政府来解决。1989 年中国的民主运动就是合法性危机的典型例子，但中国政府成功地镇压了它。今天，许多阿拉伯国家的人民正在质疑其统治精英的合法性，在其中一些国家，统治者已经被推翻。美国人长期以来一直接受其政府的权威。然而，近年来公众对政府的信任度一直很低（图 14.1）。

A government must have legitimate authority to be accepted. That is, citizens must believe “that the existing political institutions are the most appropriate ones for the society” (Lipset, 1963, 64). No political system, not even one born of violence and functioning through force, can survive for very long without legitimacy. When people question the legitimacy of their government, the situation is called a crisis of legitimacy and is usually resolved with the overthrow of the government. The 1989 democracy movement in China exemplified a crisis of legitimacy, but the Chinese government was able to crush it. Today, people in a number of Arab nations are questioning the legitimacy of their ruling elites, and in some of them, the rulers have been eliminated. Americans have for a long time accepted the authority of their government. However, of late public trust in government has been at a low level (Figure 14.1).

合法权威的类型

Types of Legitimate Authority

个人、群体或政府如何获得权威？换句话说，权力如何获得合法性？德国社会学家马克斯·韦伯在其经典论题中指出，权威的来源在于传统、法律和魅力（Weber，1957，324-369）。

How does an individual or group or a government acquire authority? In other words, how does power become legitimized? In a classic thesis, German sociologist Max Weber maintained that the sources of authority lie in tradition, the law, and charisma (Weber, 1957, 324–369).

传统权威。人们所知的最古老的权力类型是依赖于传统的权威。传统权威中权力的合法性依赖于过去。一个人或一个群体的权威被接受，是因为“它一直如此”。教会的宗教权威和政府的政治权威都在很大程度上依赖于传统。

Traditional Authority. The oldest type of power that people know is authority that depends on tradition. The legitimization of power in traditional authority depends on the past. The authority of a person or group is accepted because “it has always been so.” The religious authority of churches and the political authority of the government rest heavily on traditional sources.

传统权威往往在相对同质、非技术化的社会中占主导地位，因为公民拥有相似的群体认同，拥有大部分相同的价值观、信仰和态度。然而，即使在异质化和高度技术化的社会中，也存在着传统的权威来源。例如，美国宪法被大多数美国人视为近乎神圣的文件，构成了政府体系的基础。与宪法条文相悖的立法被视为不合法。

Traditional authority tends to prevail in relatively homogeneous, non-technological societies because citizens have similar group identification, sharing most of the same values, beliefs, and attitudes. However, even in heterogeneous and highly technological societies there are traditional sources of authority. The Constitution of the United States, as an example, is accepted by most Americans as an almost sacred document that forms the basis of the governmental system. Legislation that runs counter to the letter of the Constitution is considered illegitimate.

图 14.1公众对政府的信任：1958–2014 年

FIGURE 14.1 Public Trust in Government: 1958–2014

皮尤研究中心，华盛顿特区（2014 年 11 月）www.people-press.org/2014/11/13/public-trust-in-government/。

Pew Research Center, Washington, DC (November, 2014) www.people-press.org/2014/11/13/public-trust-in-government/.

法理型权威。这种权威基于以理性方式制定的规则。基于法理型权威的体系以科层制的方式组织，因为这种社会组织模式限制了权力的行使。在科层制中，权力掌握在社会地位和角色手中，而非特定个人。此外，这种组织模式定义并明确了每个角色所拥有的具体权力。权威建立在对“法治”的服从之上，而非对任何特定个人或群体的忠诚。

Legal-Rational Authority. This type of authority is based on rules that are arrived at in a rational manner. Systems based on legal-rational authority are organized in a bureaucratic fashion because this pattern of social organization limits the exercise of power. In a bureaucracy, power resides in a social position and role rather than in a specific individual. In addition, this pattern of organization defines and specifies the exact amount of power that each role entails. Authority is based on obedience to the “rule of law,” rather than on loyalty to any given individual or group.

法律理性权威出现在复杂的多群体社会中。在这样的社会中，成员构成异质，并属于多个亚文化群体。这些社会通常经历快速的社会变革，导致价值观、态度和信仰缺乏一致性。法律理性权威之所以被接受，是因为社会成员确信，那些拥有权威的人正在运用理性的方法，为所有人谋福利。此外，社会变革也反映在法律的频繁修改中。

Legal-rational authority appears in complex, multi-group societies. In such societies, members are heterogeneous and belong to many subcultures. These societies usually experience rapid social change, resulting in a lack of uniformity in values, attitudes, and beliefs. Legal-rational authority is accepted because societal members are convinced that those who hold authority are using rational methods for the benefit of all. Social change, moreover, is reflected in frequent modifications to the law.

魅力型权威。有一种权威并非源于传统、理性或法律。它源自杰出领导者的个性。这种权威可能出现在以传统为基础的社会，也可能出现在以法理为基础的社会。魅力型领导者似乎拥有一些特殊的特质，他们的追随者将其描述为具有吸引力、令人着迷和非凡。毛泽东、阿道夫·希特勒、马丁·路德·金和菲德尔·卡斯特罗等领导人都被描述为魅力型领导人。约翰·F·肯尼迪总统也被称为魅力型领导人，但在民主政府体制中，他和其他人所展现的魅力与独裁领导人的权威不同。

Charismatic Authority. One type of authority does not rest on tradition, reason, or the law. Rather, charismatic authority derives from the personality of an exceptional leader. Such authority may appear in a society that has a traditional base or in one that has a legal-rational base. Charismatic leaders seem to possess special characteristics that are described as magnetic, fascinating, and extraordinary by their followers. Such leaders as Mao Zedong, Adolf Hitler, Martin Luther King, and Fidel Castro have been described as charismatic. President John F. Kennedy has also been referred to as charismatic, but within the democratic system of government the charisma he and others display is different than the authority of authoritarian leaders.

图片 14.2纳粹主义是一种右翼极权主义意识形态，其吸引力很大程度上归功于阿道夫·希特勒的超凡魅力，他承诺德国人民将重返昔日的伟大——而当时，德国人民因第一次世界大战的失败而遭受着经济困难和屈辱。

IMAGE 14.2 Nazism was a totalitarian ideology of the right that owed much of its appeal to the charismatic personality of Adolf Hitler, who promised the German people a return to a former greatness—at a time when they were suffering economic difficulties and humiliations due to their defeat in World War I.

©埃弗雷特历史/Shutterstock.com

魅力型权威既不利于社会组织的稳定，也不利于政治体系的稳定。它缺乏一套规范行为的规则体系，无论是传统的还是理性的。事实上，它抵制常规化或官僚化的企图。只有当基于领导者魅力型权威的体系演变为其他两种权威体系之一时，才能建立稳定。

Charismatic authority does not encourage stable social organization nor a stable political system. It has no system of rules, either traditional or rational, with which to guide behavior. In fact, it resists attempts at routinization or bureaucratization. Stability can be established only if the system based on the charismatic authority of a leader evolves into one of the other two systems of authority.

国家

The State

当今大多数社会都是民族国家。“国家”一词经常被误解并与“政府”一词相混淆。如前所述，政府是由于维护社会秩序的需要而发展起来的机构。然而，政府是一个过程，它也包括在社会中行使政治权力的人们。国家是政治制度的抽象体现或象征。政府通过其政治进程、通过其制定和实施的法律以及通过其机构的工作来提供政治控制。国家是政府的正式代表。国家职能由政府履行。政府是国家工作的积极部门。组成政府的个人和团体，以及他们通过的法律和他们制定的程序，会随着时间和每届政府的变化而变化，但国家会继续存在。

Most societies today are nation–states. The term state is frequently misunderstood and confused with the term government. Government, as the preceding discussion has shown, is the institution that develops as a consequence of the need to maintain social order in a society. Government, however, is a process that also includes the people who exercise political power in a society. The state is the abstract embodiment, or the symbol, of the political institution. Government provides political control through its political processes, through the laws it establishes and implements, and through the work of its agencies. The state is the formal representation of government. The functions of the state are carried out by the government. Government is the working, active arm of the state. Individuals and groups that make up the government, together with the laws they pass and the procedures they establish, change with time and with each administration, but the state goes on.

在某些社会中，国家和政府很容易区分，因为国家元首和政府首脑分别由不同的人担任。例如，在英国，女王是国家元首，而首相是政府首脑。许多其他议会民主国家，总统是国家元首，首相是政府首脑。然而，在美国，这两个职位都由总统一职固有。

In some societies, it is easy to differentiate between the state and its government because the offices of the head of state and the head of government are held by two different persons. For instance, in Great Britain the queen is the head of state, whereas the prime minister is the head of government. Many other parliamentary democracies have a president as head of state and a prime minister as head of the government. In the United States, however, both offices are inherent in the position of president.

国家与所有其他机构在两个基本方面有所不同。首先，除被指定为外侨或临时访客的人外，所有居住在其领土范围内的人都必须成为国家成员。其次，国家与所有其他社会组织的不同之处在于，它的政治控制是完全的。国家，而且只有国家，才能没收公民的财产，可以通过监禁剥夺个人的自由，或者，作为最后手段，可以剥夺公民的生命，以惩罚死罪。

The state differs from all other institutions in two essential ways. First, membership in the state is compulsory for all living within its territorial limits, with the exception of those who are designated as aliens or temporary visitors. Second, the state differs from all other aspects of social organization in that its political control is complete. The state, and the state alone, can seize a citizen’s property, can deprive a person of freedom by imprisonment, or, as a last resort, can take a citizen’s life as punishment for a capital crime.

如果国家要行使有效、有组织的政治控制，这两个条件是必不可少的。如果个人可以辞去国家职务，他们就不再承担遵守国家法律的一切义务。此外，由于国家有义务在其境内强制所有人遵守某些行为模式，因此国家政府必须拥有为实现此目的而采取一切必要制裁的权力。国家必须拥有主权，即最高政治权力，这源于其在其境内垄断武力使用权的能力。一个国家的主权既得到其本国公民的承认，也得到其他国家的承认。

These two conditions of the state are necessary if the state is to exercise effective, organized political control. If individuals could resign from the state, they would be relieved of all obligation to obey its laws. Moreover, because the state has the duty of enforcing certain patterns of behavior on all persons within its boundaries, the state’s government must have the authority to use whatever sanctions are necessary to achieve this purpose. The state must possess sovereignty, or the supreme political power, which derives from its capacity to monopolize the use of force within its borders. A state’s sovereignty is recognized both by its own citizens and by other states.

国家的基本构成要素是领土、人口、政府和主权。国家在其领土范围内，通过其政府，基于其主权，为了其人民的利益，履行一定的职能并与其他国家交往。

The basic components of the state are territory, population, government, and sovereignty. Within its territory, through its government, on the basis of its sovereignty, and for the benefit of its people, the state performs certain functions and deals with other states.

换句话说，国家是根据其所在社会的规模和复杂性来定义的。它出现在人口众多、包含大量复合群体、社会阶层和社团的社会中。国家是治理此类社会的一种手段，因为它将不同类型的人聚集在共同的统治之下。国家社会很少在种族上是同质的，而且它们通常在财富和经济职能分配上表现出不平等。国家的存在是社会组织复杂性的标志。

The state, in other words, is defined in terms of the size and complexity of the society in which it is found. It emerges in societies with large populations containing high numbers of composite groups, social classes, and associations. It is a means of governing such societies in that the state brings together under common rule many kinds of people. State societies are seldom ethnically homogeneous, and they usually display inequalities in the distribution of wealth and of economic functions. The existence of a state is a mark of a society’s complexity of organization.

图片 14.3在英国这样的议会制国家中，国家元首和政府首脑分别由两个人担任。女王是国家元首，首相是政府首脑。

IMAGE 14.3 In a parliamentary system such as that of Great Britain, the head of state and the head of the government are embodied in two separate persons. The queen is the head of state, and the prime minister is the head of government.

国家在许多地方、许多历史时期、许多条件下出现或建立。纵观历史，存在过城邦国家（有些至今仍然存在）、帝国国家、神权国家、部落国家、民族国家、中央集权国家和地方分权国家、专制国家、寡头国家和民主国家，以及按社会阶级或社会等级划分的国家。尽管国家形式多样、起源各异，但它们的共同特征是，它们都是作为治理庞大而复杂的人群的一种制度解决方案而出现的。历史趋势是，国家形式逐渐精简为一种主导形式，即民族国家。这主要是通过文化传播实现的，从欧洲传播到世界其他地区，这种形式在这些地区被借鉴并与本土的政治统治体系相结合。

The state emerged or was established in many places, in many historic eras, and under many conditions. Throughout history there have existed city–states (some still exist today), empire states, theocratic states, tribal states, nation–states, centralized states, and decentralized states, autocratic, oligarchic, and democratic states, as well as states stratified by social class or by social estate. Despite its various forms and diverse origins, their common feature has been their emergence as an institutional solution to the problem of governing large and complex groups of people. And the historical trend has been to reduce the number of state forms to one predominant one, namely, the nation–state. This has occurred chiefly by means of cultural diffusion from Europe to other parts of the world, where the form was drafted on and combined with native systems of political rule.

国家理论观点

Theoretical Views of the State

政府及其象征——国家——出现的根本原因，正如人们反复指出的那样，是为了维护社会秩序。从“社会”角度看待生活的理论家们功能主义视角自然会接受这样的观点：机构的起源是为了履行这一特定职能。这一观点的早期表述之一可以追溯到英国哲学家托马斯·霍布斯（1588-1679）的著作。他推测，国家的出现源于人们订立的“社会契约”，契约的最终目的是在“自然状态”中结束他们的存在，在这种状态下，生活是“孤独、贫困、肮脏、野蛮和短暂的”。现代功能主义学派的社会思想家认为，国家是一个在维护法律和秩序方面运作良好的机构。

The fundamental reason for the emergence of government and its symbol, the state, as has been noted repeatedly, is the maintenance of social order. Theorists who see life from a functionalist perspective naturally accept the idea that the institution originated to perform this specific function. One of the older expressions of this idea may be found in the writings of Thomas Hobbes (1588–1679), an English philosopher, who speculated that the state emerged as a result of a “social contract” made by the people to end their existence in a “state of nature,” in which life was “solitary, poor, nasty, brutish, and short.” Modern social thinkers of the functionalist school perceive the state as an institution that is working quite well in maintaining law and order.

此外，国家还充当个人之间冲突的仲裁者，作为规划者，其官方目标是为最大多数人提供最大利益，并维护与其他国家的关系。因此，国家分配稀缺资源，调节经济，资助新研究，保护丧失劳动能力的人，保护环境，并普遍满足社会成员的需求。它还与其他国家签订贸易协定、建立政治联盟或发动战争。所有这些职能都需要一个集中的权威机构。

In addition, the state acts as an arbitrator in conflicts among individuals, as planner with the official goal of providing the greatest good for the greatest number, and to maintain relations with other states. Thus the state allocates scarce resources, regulates the economy, funds new research, protects those unable to work, looks out for the environment, and generally provides for the needs of the members of society. It also makes trade agreements, political alliances, or war with other states. All these functions require a centralized source of authority.

从冲突视角看待生活的理论家认为，国家的出现是为了保护少数特权阶层的权利。这种冲突观源自让-雅克·卢梭（1712-1778）的著作。他不认同霍布斯的观点，而是认为在国家出现之前，人们像“高贵的野蛮人”一样和平和谐地生活。直到私有财产观念发展起来，人们才开始相互争斗，最终不得不求助于一个中央权威——国家——来恢复和平。这个中央权威并非公正无私，而是服务于上层阶级的利益，使大多数人陷入贫困和受压迫的境地。

Theorists who view life from a conflict perspective maintain that the state emerged to protect the rights of a privileged few. The conflict view derives from the works of Jean-Jacques Rousseau (1712–1778), who disagreed with Hobbes, believing instead that before the emergence of the state, people lived as “noble savages” in peace and harmony. It was when the idea of private property developed that people began to fight among themselves and then had to resort to a central authority—the state—to restore peace. This central authority was not impartial but rather served the interests of the upper classes and kept the majority poor and oppressed.

卡尔·马克思继承了这些思想，他认为，除了最原始的社会之外，所有社会都至少由两个阶级组成。其中一个阶级通过社会制度统治和剥削其他阶级。国家最终成为统治阶级的工具。马克思得出结论，只有当社会进化达到最后阶段时，国家才会不复存在。在共产主义之后的无阶级社会中，国家将会“消亡”，因为在这样的社会中，不再需要维护任何一个群体的利益。

These ideas were taken up by Karl Marx, who thought that all but the most primitive societies consisted of at least two classes. Of these, one dominated and exploited the others by means of social institutions. The state came to be an instrument in the service of the ruling classes. Marx concluded that the state would cease to exist only when the last stage of the evolution of societies was reached. In the classless societies that would follow communism, the state would “wither away” because in such societies there would no longer be any need to safeguard the interests of any one group.

一如既往，功能主义和冲突主义视角都只展现了一种现实。有人或许会认为，国家维持着现状，并因此而导致社会不平等。同样有人或许会认为，如果没有一个拥有权威、能够为社会做出某些重要决策的中央机构，庞大、复杂、异质的社会就无法正常运转。

As always, both the functionalist and the conflict perspectives show only one version of reality. It may be argued that the state maintains the status quo and with it instances of social inequality. It may be equally argued that large, complex, heterogeneous societies cannot function without a central body with the authority to make certain vital decisions for the society.

民族国家

The Nation–State

随着社会规模和复杂性的不断增长，人们开始寻求政治组织，最初是基于亲属关系的氏族，后来是氏族集合的部落，最终是城邦。大约在15世纪，城邦逐渐发展成为民族国家。

The continuous growth in size and complexity of societies led people to seek political organization first in clans based on kinship, later in tribes that were collections of clans, and finally in city–states. Around the fifteenth century, city–states gradually began to emerge as nation–states.

民族是居住在政治国家领土内的文化群体。如果满足以下条件，一群人便被视为一个民族：(1) 他们是特定领土的永久居民；(2) 他们拥有某种形式的政府；(3) 他们拥有共同的文化；(4) 他们宣称自己拥有主权，并且被他人视为主权者。当一个群体成为一个民族时，他们对家族或部落的旧有忠诚必须服从于新的政治秩序，共同的文学、历史和对共同未来的意识得以发展。一个民族会形成一种“我们”而非“他们”的感觉；也就是说，它会发展出一种如此强烈的团结感，以至于尽管缺乏文化上的统一性，人们仍将自己与所有其他人（后来被指定为“外国人”）区分开来。从历史上看，民族身份似乎首先出现在英国人身上，他们利用中世纪秩序的瓦解，获得了一种自我认同感，即作为一个独立的民族。以及自我意识的人民，尽管他们保留了先前社会秩序中的一些制度。很少有其他国家能够实现这种作为民族的自我意识。尽管美国最初基于其英国特征而拥有民族身份的自我概念，但如今其对族群的过分关注引发了对其身份认同的质疑（Greenfield，1992）。许多其他民族国家在这方面也存在问题：加拿大的法语少数民族不愿放弃其语言或文化；以色列的阿拉伯少数民族不愿放弃其领土；以及中国的西藏不愿放弃其主权。南斯拉夫经历了一场内战，多个民族相互对抗，如今已分裂成多个独立的国家。前者代表了民族身份的阴暗面，因为旧的部落忠诚从未真正被抛弃。在共产主义时期，这些忠诚只是被隐藏起来，当时民族身份被强加于那些自认为与众不同的民族身上。

The nation is a culture group residing within the territory of the political state. A group of people are considered a nation if (1) they are permanent residents of a defined territory, (2) they exhibit some form of government, (3) they have a common culture, and (4) they declare themselves to be, and are considered by others to be, sovereign. When a group becomes a nation, older loyalties to family or tribe must be subordinated to the new political order, and a common literature, history, and a sense of a common future develop. A nation comes to have a “we” as against “them” feeling; that is, it develops a sense of unity so strong that, despite a lack of cultural uniformity, people consider themselves as separate from all others (who are then designated as “foreigners”). Historically, nationhood seems to have come first to the English, who, taking advantage of the dissolution of the medieval order, were able to achieve a sense of themselves as a separate and self-conscious people, although they retained a number of the institutions from the preceding social order. Few other nations were able to achieve this consciousness of themselves as a nation. Although the United States originally had a self-concept of nationhood based on its English characteristics, today its preoccupation with ethnicity has given rise to doubts regarding its identity (Greenfield, 1992). A number of other nation–states have problems in this area: Canada with its French-speaking minority, which does not want to give up its language or culture; Israel with its Arab minority, which does not want to give up its territory; and China with Tibet, which does not want to give up its sovereignty. Yugoslavia has undergone a civil war in which several ethnic groups were pitted against one another, and now is divided into separate nations. The former country represents the dark side of nationhood in the sense that older tribal loyalties have never really been abandoned. They were merely hidden during the communist period, when nationhood was superimposed on peoples who considered themselves distinct.

民族国家的发展在现代世界中至关重要。主要地，民族主义的忠诚和信仰一直是城市工业化时期组织复杂技术社会的驱动力。由于民族国家背后的意识形态——民族主义，它们也是建立和维持国际对抗的重要力量。

The development of national states has been of vital importance in the modern world. Principally, the loyalties and beliefs of nationalism have been motivating forces in the organization of complex, technological societies in the urban-industrial period. They have also been important forces in establishing and maintaining international antagonisms as a result of the ideology behind the nation–state, which is nationalism.

民族主义

Nationalism

民族主义可以被定义为一套关于自身民族优越性和差异性的信念，以及捍卫其利益高于一切的信念。它意味着个人认同其民族、其文化、其利益和其目标。民族主义是一种超越所有其他忠诚的种族中心主义，强调对民族群体的忠诚。

Nationalism may be defined as a set of beliefs about the superiority and difference of one’s own nation and a defense of its interests above all others. It implies that the individual identifies with the nation, its culture, its interests, and its goals. Nationalism is ethnocentrism that cuts across all other loyalties to stress loyalty to the national group.

从历史上看，民族主义是一场新兴运动。它最早出现于十八世纪下半叶。在此之前，在封建时代之后，整个西方世界在文化和宗教上相对统一。由于频繁的通婚和亲属关系，大多数西方国家的统治者构成了一个由统治阶级组成的国际社会。第一次世界大战后的事件，尤其是一些共产主义和法西斯政权的出现，有效地摧毁了这种团结。新政权强调民族主义，因为他们认为追求国家至上的动力会在内部增强其力量。他们的目标是建立一个铁板一块的国家，让人民只效忠于政府，并拥有压倒性的爱国主义情怀。

Historically, nationalism is a new movement. It first appeared in the second half of the eighteenth century. Before then, in the aftermath of the feudal era, all the Western world was relatively unified in culture and religion. The rulers of most Western nations constituted an international society of governing classes because of frequent intermarriages and kinship relations. The events following World War I, particularly the appearance of a number of communist and fascist regimes, effectively destroyed this unity. The new regimes stressed nationalism because they felt that a drive for national supremacy would strengthen them internally. Their goal was to create a monolithic state whose people had only one allegiance to the government and one overwhelming feeling of patriotism.

此外，当时的古典自由主义者认为民族国家是人类社会中自治的自然单位。他们认为，一旦主宰西方世界的庞大帝国消失，人民将不再受其压迫，和谐相处，无需战争或冲突。马克思主义者甚至坚信，现代化和社会主义的传播最终将消除民族主义，民族主义最终将扮演与民族烹饪相同的角色：一种对过去文化传统的古朴回忆。但他们都错了，因为民族主义和民族认同感在整个20世纪都被证明是一股强大的力量，甚至在新世纪仍然引发战争和暴行。

The classical liberals of that time, moreover, believed that the nation–state was the natural unit of self-government in human society. They thought that once the vast empires that had dominated the Western world disappeared, people, no longer oppressed by them, would live in harmony with one another, without need for wars or conflict. Marxists were even confident that modernization and the spread of socialism would eventually get rid of nationalism, and that it ultimately would have the same role as ethnic cooking: a quaint reminder of a past cultural tradition. But they were all wrong, as nationalism and the feelings of nationhood proved to be powerful forces all through the twentieth century, giving rise to wars and atrocities even into the new century.

在美国，强烈的民族认同感逐渐形成，这首先源于语言和文化上的共同民族性。后来，随着人们逐渐相信自己的民族肩负着成为世界其他民族榜样的历史使命，这种认同感被一种“特殊性”所强化。换句话说，在美国，民族国家的概念与启蒙运动时期关于普世文明目标的一些理想相结合。然而，美国并非第一个普世国家；相反，过去几十年来，我们一直在经历一种更为狭隘的民族情感的激化，有时甚至导致我们质疑自己的民族认同。国家认同。我们中的许多人已经成为“带连字符的美国人”。这一事实让一些评论员指出，建立在认同抽象原则基础上的国家忠诚不足以维持国家地位。

In the United States, a strong sense of national identity emerged, at first as a result of a common ethnicity in terms of language and culture. Later, it was reinforced by a sense of “specialness,” as people came to believe that the nation had a historical mission to be the model for other nations of the globe. In other words, the idea of nationhood was combined in the United States with some of the ideals of the Enlightenment period regarding the aim of universal civilization. However, the United States has not become the first universal nation; on the contrary, we have been for the past several decades experiencing a sharpening of more narrowly ethnic feelings that sometimes result in our questioning our national identity. Many of us have become hyphenated Americans, a fact that has some commentators stating that a national allegiance that depends on subscribing to abstract principles is insufficient to maintain nationhood.

民族国家背后的意识形态

The Ideologies Behind the Nation–State

前南斯拉夫如今已分裂成多个部分，在整个20世纪90年代一直是新闻焦点。新闻报道不断报道战争与饥荒、暴行与难民、战犯审判、人民被赶出祖籍以及人民占领他人祖籍的事件。然而，几年前，南斯拉夫还是一个统一的国家，一个民族，人民彼此和睦相处。诚然，他们由许多不同的民族和宗教群体组成，但这似乎并没有阻止他们之间的贸易、交往和通婚。

The former Yugoslavia, now divided into its many component parts, had been in the news throughout the 1990s. The news reports told incessantly of war and starvation, of atrocities and refugees, of war criminal trials, of people thrown out of their ancestral homes and people taking over the ancestral homes of others. And yet, a few years ago, Yugoslavia was a unified country, a nation, whose people lived in reasonable harmony with one another. It is true that they were made up of a number of different ethnic and religious groups, but this did not seem to stop them from trading, interacting, and marrying each other.

是什么让他们的凝聚力瓦解，昔日的好友反目成仇，家庭支离破碎，兄弟反目成仇？总之，一切都源于一种意识形态。二战结束后近50年，这种意识形态一直主张团结。如今，这些人自称是自豪的斯洛文尼亚人、塞尔维亚人、克罗地亚人、波斯尼亚人和黑山人，彼此之间有着深深的创伤和仇恨，却在共产主义独裁者铁托将军的强迫下，埋葬过去，视自己为一个民族。这种意识形态是强加给他们的，但确实奏效了。然而，当共产主义在他们周围瓦解时，他们需要一种新的意识形态来巩固国家。这种意识形态是通过回顾过去而找到的；但它并没有带来团结，反而导致了国家的分裂。

What happened to break up their cohesion, to turn former friends into bitter enemies, to split families, pitting brother against brother? In a word, it all started with an ideology. For nearly 50 years following the end of World War II, the ideology had been one of unity. Those same people who today proclaim themselves to be proud Slovenians, Serbs, Croatians, Bosnians, and Montenegrins, with deep wounds and profound hatreds for one another, were compelled by a communist dictator, General Tito, to bury the past and consider themselves one nation. That ideology was forced on them, but it worked. When communism unraveled all around them, however, a new ideology was needed to cement the nation. Such an ideology was found by revisiting the past; but, rather than unity, it led to the breakup of the nation.

意识形态是一种信仰体系，或称信条，为集体行动提供基础（曼海姆，1936）。意识形态往往围绕着一个核心价值观发展，例如平等或种族纯洁性。拥护特定意识形态的人声称代表社会主要群体：马克思主义者代表工人阶级，女权主义者代表所有女性。有些意识形态捍卫或合理化现状；另一些则批判现状并劝诫人们改变现状。所有意识形态的追随者都认为，只有他们才能真实地描绘世界。因此，意识形态是所有社会运动乃至政府的基石。

Ideology is a system of beliefs, or doctrines, that provide a basis for collective action (Mannheim, 1936). Ideologies tend to develop around a central value, such as equality or racial purity. Those espousing a particular ideology claim to speak for major social groups in society: Marxists for the working class, feminists for all women. Some ideologies defend or rationalize the status quo; others criticize it and exhort people to change it. All followers of an ideology maintain that only they give the true picture of what the world is really like. As a result, ideologies are the underpinnings of all social movements and eventually of governments.

意识形态的作用

The Role of Ideology

首先，意识形态解释了事物为何如此。其次，它们强化参与者的感受，使其清晰化，并使其成为行动方案的一部分。第三，它们指导成员以能够实现预期改变的方式行事。最后，它们教育人们，为其行为辩护。

First, ideologies explain why things are the way they are. Second, they reinforce the feelings of participants, clarifying them and making them a part of a program for action. Third, they direct members to behave in such a way that the desired change will be obtained. And finally, they educate people, justifying their actions.

意识形态虽然发挥着重要作用，但往往歪曲事实。它们还倾向于将其追随者塑造成“忠实信徒”，即盲目忠诚的支持者。反过来，盲目忠诚所引发的狂热并不尊重事实。

Despite their important functions, ideologies often distort the truth. They also have a tendency to make of their followers “true believers,” that is, supporters who are blindly loyal to them. In turn, the kind of fanaticism blind loyalty evokes does not respect the truth.

意识形态往往在危机时期以及那些主流世界观已无法接受的社会群体中兴起（Shils，1968，66-76）。当某些群体开始感到被剥削或被忽视，或他们的地位受到社会变革的威胁，或他们的需求和愿望在现有秩序中受到阻挠时，他们就会转向一种新的或新近重新发现的意识形态，从中看到更美好未来的希望。事实上，意识形态是行动中理念的体现。因此，它们在社会运动之外毫无意义，而其中一些社会运动最终会发展成为政府。意识形态需要组织和传播，而这需要通过动员人们采取行动来实现。

Ideologies tend to arise during periods of crisis and among those segments of society to whom the dominant worldview has become unacceptable (Shils, 1968, 66–76). When groups of people begin to feel exploited or neglected, or if their status is being threatened by social change, or if their needs and desires are being thwarted in an existing order, they turn to a new or newly rediscovered ideology in which they see hope for a better future. In fact, ideologies are embodiments of ideas in action. Thus, they are meaningless outside social movements, some of which eventually become governments. Ideologies need to be organized and disseminated, and this is done by harnessing people into action.

政治意识形态

Political Ideology

意识形态的范围从全面到局部不等。例如，极权主义意识形态坚持公共权力控制生活中所有有意义的领域，而民主意识形态则将自身限制在一个较为狭窄的范围内。

Ideologies vary in scope from comprehensive to partial. Totalitarian ideologies, for instance, insist that public authority control all the meaningful areas of life, whereas democratic ideologies limit themselves to a more restricted sphere.

意识形态是抽象的。也就是说，它们不一定反映现实，而是从作者对现实的感知中衍生出来的模型。

Ideologies are abstract. That is, they do not necessarily reflect reality but are a model derived from the author’s perceptions of reality.

意识形态具有还原论性质，因为它们提出的解释和目标普遍而简单，易于理解。尽管意识形态旨在引发行动，但它们并不总是先于行动。有时，行动先发生，然后才形成一种意识形态来为其辩护。

Ideologies are reductionist, in that they set forth general and simple explanations and goals that are easily understandable. Although ideologies are meant to result in action, they do not always precede action. Sometimes, actions come first and then an ideology is formed to justify them.

最后，尽管许多意识形态指导着人类生活，但政治意识形态及其经济影响才是对人们社会生活影响最直接的。政治学家罗伯特·莱恩（Robert Lane）这样描述政治意识形态的性质和功能：政治意识形态指的是具有以下特征的概念：（1）处理以下问题：谁将成为统治者？统治者将如何产生？他们将遵循什么原则进行统治？（2）构成一种论证；也就是说，它们旨在说服和反驳反对意见；（3）对人生的某些主要价值观产生内在影响；（4）包含一项捍卫、改革或废除重要社会制度的纲领；（5）在某种程度上是对群体利益的合理化，但不一定是所有信奉该利益的群体的利益；（6）在语气和内容上具有规范性、伦理性和道德性；（7）（不可避免地）脱离其在更广泛的信仰体系中的语境，并共享该体系的结构和风格特征（Lane，1962，14-15）。

Finally, although a number of ideologies guide human lives, it is the political ideology with its economic repercussions that affects the social lives of people most directly. Political scientist Robert Lane describes the nature and functions of political ideology in the following terms: political ideology refers to concepts that: (1) deal with the questions: Who will be the rulers? How will the rulers be selected? By what principles will they govern? (2) constitute an argument; that is, they are intended to persuade and to counter opposing views; (3) integrally affect some of the major values of life; (4) embrace a program for the defense, reform, or abolition of important social institutions; (5) are, in part, rationalization of group interest but not necessarily the interest of all groups espousing them; (6) are normative, ethical, moral in tone and content; (7) are (inevitably) torn from their context in a broader belief system and share the structural and stylistic properties of that system (Lane, 1962, 14–15).

意识形态最重要的功能之一是使统治者为被统治者所接受。罗伯特·麦克伊弗在其论政府本质的著作中断言，使人们接受他人作为统治者的并非武力，而是社会的神话情结（MacIver, 1947, 17）。作者用这种神话情结来指代意识形态，它赋予政府一种正当性，没有这种正当性，任何君主、议会、暴君或独裁者都无法统治。任何政府都需要合法的权威才能继续存在。而权威的根基正是意识形态。

One of the most important functions of ideology is to make the governors acceptable to the governed. In his book on the nature of government, Robert MacIver asserted that it is not force but the myth complex of society that makes people accept others as their rulers (MacIver, 1947, 17). This myth complex, which is the author’s term for ideology, lends government a justification without which no prince or parliament, no tyrant or dictator could ever rule. Any government needs legitimate authority to continue to exist. And the underlying fabric of authority is ideology.

在多元异质的社会中，人们往往持有相互冲突的意识形态。理论上，个人可以从众多意识形态中挑选。但实际上，大多数人被社会化地接受了主流意识形态，以至于只有少数人意识到存在多种意识形态。在只允许一种官方意识形态存在的社会中，持有相互冲突意识形态的人会被视为国家敌人而受到迫害。

In pluralistic, heterogeneous societies, people tend to hold conflicting ideologies. In theory, the individual can pick and choose from among a number of such ideologies. In reality, most people are socialized into accepting the prevailing ideology, so that only a few even realize that a multiplicity of ideologies are available. In societies in which only one official ideology is allowed to exist, those who hold conflicting ideologies are persecuted as enemies of the state.

当代统治社会生活的主流政治意识形态主要分为专制主义（极权主义，或独裁专制）和民主主义。前者包括法西斯主义、纳粹主义以及苏联和其他共产主义的变体；后者包括民主资本主义和民主社会主义。

The foremost contemporary political ideologies that govern the lives of societies are divided into the autocratic (totalitarian, or dictatorial and authoritarian) and the democratic. The first group includes fascism, Nazism, and Soviet and other variants of communism; the second group includes democratic capitalism and democratic socialism.

专制意识形态

Autocratic Ideologies

所有专制意识形态的基础都在于，政府应该掌握在个人或群体手中，并拥有凌驾于社会人民之上的最高权力。纵观历史，存在过多种形式的专制政府：原始君主制、专制、暴政以及像沙皇俄国那样的专制君主制。军事独裁以及其他形式的临时或紧急统治本质上也属于专制。专制政体的显著特征是统治者无需就任何行动向任何人负责。统治者做出所有决定，但不受任何法律的约束。实际上，统治者就是法律，而人民才是真正意义上的臣民：他们没有任何政治权利。

The basis of all autocratic ideologies is the belief that government should be in the hands of one individual—or group of individuals—with supreme power over the people of the society. Throughout history many forms of autocratic governments have existed: primitive kingships, despotism, tyranny, and absolutist monarchies such as those of czarist Russia. Military dictatorships and other forms of temporary or emergency rule are also autocratic in nature. The distinguishing feature of autocratic regimes is that the ruler does not have to account to anyone for any actions. The ruler makes all decisions without being subject to any law. In effect, the ruler is the law, and the people are subjects in the true sense of the word: they have no political rights at all.

威权主义

Authoritarianism

在现代，传统的专制政体已被我们称之为威权主义或极权主义的左右翼意识形态所取代。威权主义在政治领域是专制的，但也为个人留下了一定程度的选择权，只要个人不干涉领导人或政党精英的统治。世界上许多国家，尽管自诩为民主国家或社会主义国家，但实际上却是威权政体。

In modern times, traditional autocracy has been replaced by ideologies of the right and of the left that we call either authoritarian or totalitarian. Authoritarianism is autocratic in the political arena but leaves a measure of choice up to the individual as long as the latter does not interfere with the rule of the leader or the party elite. Many nations throughout the world, though they define themselves as democratic or socialist, are really authoritarian regimes.

极权主义

Totalitarianism

极权主义政体与现代威权体制以及过去的独裁政权有着重大区别。首先，它们在生活的方方面面控制个人，包括社会、宗教和政治层面。其次，它们建立在现代科技和大众合法性的基础之上（Friedrich & Brzezinski, 1966, 4）。“极权主义”一词的出现，源于人们原本认为昙花一现的左翼和右翼独裁政权最终演变为永久性政权。极权主义政体有许多共同之处：（1）其官方意识形态表达了对当今社会的反抗，并寄予对未来社会中完美男女的理想主义期望；（2）它们维持一个单一的政党，作为意识形态得以培育和延续的组织；（3）国家拥有无处不在的秘密警察，并完全控制着大众媒体；（4）国家垄断了武器控制，这意味着武力被集中……（5）经济由中央计划和控制。极权主义意识形态的这些特征使得许多极权主义国家能够完全控制个人的生活。过去的专制政权从未尝试过这种做法，当代非极权主义的威权主义政权也没有这样做（Friedrich, Cutis & Barber, 1969, 126; Gregor, 1968, 20–21）。

Totalitarian regimes differ in major ways both from the modern authoritarian systems and from the autocracies of the past. For one thing, they control the individual in all aspects of life, social and religious as well as political. For another, they are based on modern technology and mass legitimation (Friedrich & Brzezinski, 1966, 4). The word totalitarian came into existence when what were thought to be short-lived dictatorships of the left and right became permanent regimes. Totalitarian regimes have many aspects in common: (1) their official ideology expresses a revolt against present society and idealistic hopes for a future society of perfect men and women; (2) they maintain a single party that functions as the organization through which the ideology is fostered and kept alive; (3) the state has an all-pervasive secret police and totally controls the mass media; (4) the state has a monopolistic control of arms, which means that force is concentrated in its hands; and (5) the economy is centrally planned and controlled. These features of totalitarian ideology have enabled many totalitarian states to exert total control over the lives of individuals. Such an attempt was never made by the older autocracies, nor is it made by the contemporary authoritarian regimes that are not totalitarian (Friedrich, Cutis, & Barber, 1969, 126; Gregor, 1968, 20–21).

图片 14.4在专制社会，甚至连人们的发型都受到控制。图中是伊朗一家理发店，上面贴着一张男士发型的海报。

IMAGE 14.4 In an authoritarian society, even people’s hairstyles are subject to control. Here, a barbershop in Iran with a poster of hairstyles allowed for men.

从极权主义意识形态发展而来的政治制度——法西斯主义、国家社会主义（纳粹主义）、共产主义（苏联、中国、古巴、朝鲜）——的命运各不相同。第二次世界大战终结了法西斯主义和纳粹主义，它们只是零星地在不同国家重新出现。共产主义在20世纪的大部分时间里持续繁荣，但在过去几十年里，在其主要堡垒苏联及其卫星国急剧崩溃。它仍在古巴（但最近与美国的和解可能导致其终结）、朝鲜以及在中国和其他一些国家更加脆弱的势力中挣扎。（在中国，共产主义正在失去其影响力，因为事实证明，市场经济更有能力生产出所有人渴望的消费品；但共产党仍然控制着政府。）以游击战形式出现的共产主义运动已经出现在中美洲和南美洲（例如秘鲁的光辉道路运动）和非洲各国。

The destinies of political systems that have evolved from totalitarian ideologies—fascism, National Socialism (Nazism), communism (Soviet, Chinese, Cuban, North Korean)—have all been different. World War II put an end to fascism and Nazism, which have reappeared only sporadically in various nations. Communism continued to prosper for much of the twentieth century but has in the last few decades dramatically collapsed in its major stronghold, the Soviet Union and its satellites. It is still hanging on in Cuba (but the recent rapprochement with the United States may result in its end), North Korea, and much more tenuously in China and a few other nations. (In China communism is losing its hold, as the embrace of a market economy has proved more capable of producing the consumer goods all people seem to crave; but the Communist Party still maintains control of the government.) Communist movements, in the form of guerrilla warfare, have appeared in Central and South America (i.e., the Shining Path movement in Peru) and in various nations of Africa.

右翼极权主义：法西斯主义和纳粹主义

Totalitarianism of the Right: Fascism and Nazism

法西斯主义和纳粹主义是20世纪上半叶盛行的右翼极权主义政权的典型代表，当代社会对此毫不在意。第一次世界大战后，法西斯主义在贝尼托·墨索里尼领导下的意大利兴起（1922年法西斯政府上台）。1933年，德国也出现了类似的运动，并被冠以国家社会主义或纳粹主义之名。最终，这场运动传入亚洲，并受到日本的欢迎。它也在西半球扎根：阿根廷于1943年在胡安·庇隆将军的领导下建立了法西斯独裁政权，并一直持续到20世纪50年代中期。此外，法西斯主义在其不同的国家形态中，以长枪党的形式出现在西班牙，并以各种名称出现在法国、罗马尼亚、匈牙利和其他国家。

Fascism and Nazism, which no contemporary society admits to following, exemplified totalitarian regimes of the right that flourished in the first half of the twentieth century. Fascism emerged in Italy under the leadership of Benito Mussolini after World War I (a fascist government came to power in 1922). In 1933, a similar movement appeared in Germany, where it acquired the name of National Socialism, or Nazism. Eventually, the movement crossed over into Asia, where it was embraced by Japan. It also took hold in the Western Hemisphere: Argentina established a fascist dictatorship under General Juan Peron in 1943 that lasted until the middle 1950s. In addition, fascism, in its various national transformations, appeared in Spain as the Falange party and in France, Romania, Hungary, and other nations under a variety of names.

尽管法西斯主义与纳粹主义之间存在差异，但这两个运动也拥有足够多的相似之处，以至于后者可以被视为前者的一个亚型。主要区别在于，它们是由两位不同的领导人定义的：贝尼托·墨索里尼代表法西斯主义，阿道夫·希特勒代表纳粹主义。

Although there are differences between fascism and Nazism, the two movements have enough similarities that the latter can be considered merely a subtype of the former. Principally, they are identified by two different leaders: Benito Mussolini with fascism and Adolf Hitler with Nazism.

法西斯主义的主要内容包括对理性的不信任、对人类基本平等的否定、基于暴力和歪曲事实的行为准则、精英统治、极权主义（即政府施加的全面控制）、种族主义、帝国主义以及反对国际法和秩序（Ebenstein，1973）。这种意识形态具有狂热和教条的色彩，提出的问题不能批判性地讨论，而必须凭信念接受。例如，种族是德国人的问题，领导人的绝对正确性是意大利人的问题。法西斯主义者也拒绝犹太-基督教-希腊的平等观念。法西斯主义的理想是不平等的概念，即有些人被认为比其他人优越：男人对女人、士兵对平民、党员对非党员、本国对其他国家、强者对弱者、战争胜利者对战败者。法西斯主义者认为人们能够自治是一种谬论；相反，他们更倾向于相信，只有人口中极少数人，凭借出身、教育或社会地位，能够理解并做出对整个社会最有利的事情。因此，在法西斯体制下，政府由自封的精英组成，不依赖于民众的同意、自由选举、新闻自由或反对派。

The principal elements of fascism included a distrust of reason, the denial of basic human equality, a code of behavior based on violence and distortion of truth, government by the elite, totalitarianism (that is, total control exerted by the government), racism, imperialism, and opposition to international law and order (Ebenstein, 1973). The ideology had fanatical and dogmatic overtones and presented issues that could not be discussed critically but must be accepted on faith. For instance, race was an issue for the Germans, and the infallibility of a leader was one for the Italians. Fascists also rejected the Judeo-Christian-Greek concept of equality. The fascist ideal is the concept of inequality, in the sense that some persons are considered superior to others: men to women, soldiers to civilians, party members to nonparty members, one’s own nation to other nations, the strong to the weak, and the victors in war to the vanquished. Fascists considered it a fallacy that people were capable of self-government; rather, they preferred to believe that only a small minority of the population, qualified by birth, education, or social standing, were able to understand and do what was best for the whole society. It followed that in a fascist system, the government consisted of a self-appointed elite and was not dependent on popular consent, free elections, a free press, or an opposition.

法西斯主义在所有社会关系中都体现了极权主义；其目标是控制人类生活的各个阶段，从生到死；其手段也体现了极权主义，因为法西斯分子为了达到目的不惜使用一切形式的胁迫手段，从口头威胁到大规模屠杀。随着轴心国（德国及其盟友）在二战中的失败，最恶毒的法西斯主义和纳粹主义形式被彻底消灭。然而，这种意识形态仍不时地在一些社会运动中出现。

Fascism was totalitarian in all social relations; in its objective, which was to control all phases of human life from birth to death; and in its means, because fascists were willing to use any form of coercion, from verbal threats to mass murder, to attain their goals. With the defeat of the Axis powers (Germany and its allies) in World War II, the most virulent forms of fascism and Nazism were wiped out. Nonetheless, the ideology crops up sporadically in a number of social movements.

左翼极权主义：共产主义

Totalitarianism of the Left: Communism

共产主义是一种经济和政治制度，其目标是政府全面控制经济并进行全面收入再分配，最终实现一个无阶级社会。共产主义建立在一种最容易被误解和恐惧的意识形态之上。然而，它所宣称的目标——建立一个平等的社会——几个世纪以来一直是世界上一些最杰出的思想家和心灵的理想。如今人们所熟知的共产主义起源于工业革命带来的社会变革之后。这种意识形态的兴起是对19世纪城市工业化社会中饥饿、疾病、贫困和医疗匮乏的日常现实的回应。许多社会思想家和批评家都曾观察并哀叹这些状况。卡尔·马克思提出了他自己的乌托邦版本——共产主义，并很快激发了众多追随者的想象力。

Communism, an economic and political system whose goals are total government control of the economy and total income redistribution with the ultimate aim of a classless society, is based on one of the most misunderstood and feared ideologies. And yet its avowed goal—the establishment of an egalitarian society—has been the ideal of some of the world’s best minds and hearts through the centuries. Communism as it is known today originated in the conditions following the social changes brought about by the Industrial Revolution. The ideology sprang up as a reaction to the hunger, disease, poverty, and lack of medical care that were the daily realities of urban industrial masses in the nineteenth century. These conditions had been observed and lamented by many social thinkers and critics. Karl Marx proposed his own version of utopia, communism, which soon fired the imagination of vast numbers of followers.

马克思主义基础：唯物主义。如前所述，马克思思想的基础是人们的状况——事实上，生活中的所有关系——都建立在经济基础之上。文化、法律、政府、宗教、美学、哲学等等，实际上都是建立在每个社会经济基础之上的上层建筑。经济基础如此强大，它不仅决定了上层建筑，也决定了人们的思维和行为方式。例如，在所有社会中，拥有财产（或工业社会中的生产资料）的人决定了该社会事件的进程。那些没有财产的人则受制于他人，或至少受他人指挥。马克思认为，这种状态始于私有财产权被主张之时，并将持续到所有人都拥有财产为止。

The Marxist Foundation: Materialism. The basis of Marx’s thought, as already noted, was the idea that people’s conditions—in fact, all relationships in life—rested on an economic base. Culture, law, government, religion, esthetics, philosophy, and so on, were actually superstructures erected on economic foundations in every society. The economic base was so strong that it determined not only the superstructure but also the way people thought and behaved. As an example, in all societies, those who own property (or the means of production in industrial societies) determine the course of events in that society. Those who lack property are subject to, or at least directed by, others. This state of affairs, said Marx, began when the right to private property was asserted and will not stop until property is possessed by all.

马克思还强调，社会变革（如同生活的各个方面）是持续不断的，并且是通过斗争来实现的。在处于资本主义发展阶段的社会中（正如马克思写作时大多数西方社会的情况），斗争发生在资产阶级（拥有生产资料的企业家）与无产阶级（产业工人）之间。马克思坚信，这场斗争最终将由无产阶级赢得胜利。

Marx also stressed that change in societies (as in all facets of life) was constant and that it proceeded through struggle. In societies that were at the capitalist stage of development (as most Western societies were at the time of his writing), the struggle was between the bourgeoisie—the entrepreneurs who owned the means of production—and the proletariat—the industrial workers. There was little doubt in Marx’s mind that the struggle would eventually be won by the proletariat.

历史预言：辩证法。马克思通过一种名为辩证法的基本分析工具得出了这一预言（因此，马克思主义的立场有时被称为辩证唯物主义）。辩证法作为一种探究方法，源于希腊。它本质上是一种问答方法，先提出一个立场（正题），然后对其进行批判，直至得出相反的立场（反题）。最终，在两个对立面之间找到一个中间立场（合题），然后重新开始这个过程。

Historical Prediction: The Dialectic. Marx arrived at this prediction through a basic tool of analysis called the dialectic (hence, the Marxist position is sometimes referred to as dialectical materialism). The dialectic as a method of inquiry is of Greek origin. It is basically a method of question and answer in which a position is stated (thesis) and then criticized until the opposite position is arrived at (antithesis). Finally, a middle position between the two opposites is attained (synthesis), and the process begins anew.

马克思运用辩证法来解读历史。他认为，由于经济体系的变迁反映在整个社会上层建筑中，因此，通过关注经济变化可以预测历史进程，通过观察历史规律可以预测经济进程。后者包含新旧事物之间的斗争，而新事物总是会胜利。因此，封建主义战胜了奴隶制，资本主义战胜了封建主义，社会主义——最终是共产主义——必然会战胜资本主义。马克思继续说道，最终资产阶级将被消灭，取而代之的是无产阶级。这种情况将发生在一个被称为共产主义的阶段，然而，如果没有暴力革命，共产主义就无法实现。马克思早已预见到了这场斗争；他说，他能在资本主义中看到自身毁灭的种子。马克思对革命的发生地点有着非常清晰的认识。他预言，最有可能的地点是德国，然后革命将从那里蔓延到其他高度工业化的国家，并逐渐波及到工业化程度较低的国家。然而，马克思以及其他许多人的这一预言都是错误的；革命发生在当时欧洲工业化程度最低的国家之一——俄国。

Marx used the dialectic method to interpret history. He maintained that because change in the economic system is reflected in the entire superstructure of society, it is possible to predict the course of history by noting economic changes, and the course of the economy by observing historical patterns. The latter include a struggle between the old and the new in which the new always wins. Thus, feudalism overcame slavery, capitalism overcame feudalism, and socialism—and eventually communism—would inevitably overcome capitalism. Ultimately, Marx went on, the bourgeoisie would be destroyed and its place would be taken by the proletariat. This condition would occur in a stage called communism, which, however, would not be attained without violent revolution. The struggle was already apparent to Marx; he said he could see in capitalism the seed of its own destruction. Marx was quite specific about where the revolution would occur. He predicted that the most likely place would be Germany, from which it would spread to other highly industrialized nations, gradually reaching the less industrial ones. This prediction by Marx, as well as many others, was wrong; the revolution occurred in Russia, at the time one of the least industrialized nations of Europe.

另一个未能实现的预言是，资本主义经济体中工人阶级地位的衰落。工会和福利国家共同保障了工人的福祉，最终导致工人未能推翻资产阶级。资本主义证明了它能够通过变革来应对某些挑战，这驳斥了马克思关于资本主义永远不会改变、因此注定失败的论断。

Another prognostication that did not materialize was the predicted deterioration of the working class in capitalist economies. Trade unions and the welfare state combined to secure the well-being of workers, who consequently did not overthrow the bourgeoisie. Capitalism demonstrated that it could change to meet certain challenges, refuting Marx’s certainty that it would never change and was, therefore, doomed to fail.

最后，马克思低估了民族主义的力量。他向全世界的工人发表讲话，敦促他们挣脱枷锁。但全世界的工人却觉得自己首先是德国人、俄罗斯人、法国人或意大利人，其次才是无产阶级的成员。第一次世界大战爆发时，各国工人不顾共产主义理论家的劝告，纷纷涌向保卫祖国的阵线。共产主义理论家们一再重申马克思的警告：民族情绪只是资产阶级用来巩固其对无产阶级统治的上层建筑的一部分。

Finally, Marx underestimated the power of nationalism. He addressed the workers of the world, urging them to throw off their chains. But the workers of the world felt themselves to be primarily German, Russian, French, or Italian and only secondarily members of the proletariat. When World War I broke out, the workers of each nation flocked to the defense of their country against the advice of communist ideologues, who repeated Marx’s warnings that national sentiment was only part of the superstructure by which the bourgeoisie reinforced their dominance over the proletariat.

尽管马克思的许多预言落空，他的意识形态却在许多国家扎根。在20世纪的大部分时间里，几乎一半的世界都生活在自认为是马克思主义的政权之下，并预见到资本主义即将崩溃。令人惊讶的是，这些国家中的大多数与马克思所预言的工业化怪物相反，经济并不发达。

Despite the failure of many of his predictions, Marx’s ideology has taken root in a large number of nations. For most of the twentieth century, almost half the world lived under regimes that considered themselves Marxist and were anticipating the imminent fall of capitalism. Surprisingly, most of these nations, contrary to being the industrial monsters prophesied by Marx, were economically underdeveloped.

共产主义和苏联

Communism and the USSR

革命和建立共产主义政权的最初动力来自马克思的俄国弟子弗拉基米尔·伊里奇·乌里扬诺夫，也就是更为人熟知的列宁（1870-1924）。列宁着手为资本主义继续存在的理由进行合理化（帝国主义提供了额外的市场、原材料和廉价劳动力），并致力于确保革命的发生。他组织了一小群革命者，致力于推翻俄国后沙皇时代的临时政府（沙皇政权此前已被推翻）。他们最终在1917年成功了，而饱受第一次世界大战摧残的欧洲则让革命政权得以巩固。列宁一心想维持革命，因此认为其他地方的革命必须推迟。他呼吁全世界的工人将俄罗斯视为自己的国家，代表他们的希望并捍卫他们的利益。这种国际主义虽然表面上保持不变，但在第二次世界大战期间却有所减弱，民族主义在人们心中重新觉醒，他们再次挺身而出保卫自己的国家。（事实上，苏联本身就是一个由大约150个不同民族组成的混合体，尽管共产党试图将统一的文化强加于人民，但他们显然并不认同大俄罗斯的价值观和传统。事实上，共产主义一旦失去控制，各民族就开始呼吁独立。）

The initial thrust toward revolution and the establishment of a communist regime came from a Russian disciple of Marx, Vladimir Ilyich Ulyanov, better known as Lenin (1870–1924). Lenin proceeded to rationalize the reasons for the continuing existence of capitalism (imperialism provided additional markets, as well as raw materials and cheap labor) and concentrated on ensuring that revolution would occur. He organized a small group of revolutionaries dedicated to the goal of overthrowing the post-czarist provisional government in Russia (the czarist regime had been previously overthrown). They finally succeeded in 1917, and a Europe that was exhausted from World War I allowed the revolutionary regime to become entrenched. Lenin became obsessed with maintaining the revolution and for this reason felt that revolution elsewhere had to be postponed. He urged workers around the world to consider Russia their own country, representing their hopes and defending their interests. This internationalism, although ostensibly remaining constant, gave way during World War II, when nationalism was reawakened in people who once more came to the defense of their own countries. (For that matter, the Soviet Union itself was an amalgam of about 150 different nationality groups who obviously did not feel allegiance to the values and traditions of Great Russia despite the attempts of the Communist Party to impose a uniform culture on the people. In fact, as soon as communism lost its hold, the various nationalities began to clamor for independence.)

尽管列宁及其继任者斯大林都试图将马克思主义意识形态转化为政治实践，但后者与前者截然不同。当时只有一个政党——共产党——以及该党的一位领导人，因此决策几乎是单边主义和独裁的。斯大林的一项决定是迅速实现国家工业化，为此，他实行了强制农业集体化。消费品必须让位于重工业。农民和工人被期望尽可能地努力工作，并尽可能地生产……他们尽其所能，但国家却尽可能少地支付他们，以便积累更多资金用于资本投资。毋庸置疑，当看不到回报时，人们不会积极应对困难，尤其是当失败或不服从会受到严厉惩罚时。

Although Lenin, and subsequently his successor Stalin, tried to turn the Marxist ideology into political practice, the latter differed quite dramatically from the former. There was only one political party—the Communist Party—and one leader of that party, so that decision making became virtually unilateral and dictatorial. One of Stalin’s decisions was to industrialize the country rapidly, and for that purpose forced agricultural collectivization was instituted. Consumer goods had to give way to heavy industry. Farmers and workers were expected to work as hard as they could and produce as much as they could, but the state paid them as little as possible so that more could be accumulated for capital investment. Needless to say, people do not respond positively to hardships when no rewards are in sight, particularly when failure or disobedience is punished severely.

马克思列宁主义思想塑造的经济体系以严格的中央计划为特征。这种体制与资本主义模式截然相反，在资本主义模式中，每个企业家都决定生产什么、投资于何处。中央计划本应比资本主义模式更高效，但事实证明，它效率低下。它滋生了滥用职权和腐败，并催生了庞大的官僚机构，使普通民众的生活苦不堪言。尽管如此，尽管经历了二战中清洗运动造成的混乱和严重的人员伤亡和财产损失，苏联在解体前仍然是世界第二大生产国，其煤炭和钢铁产量甚至超过了美国。这或许是一些发展中国家一度选择效仿马克思列宁主义经济模式的原因之一。

The economic system shaped by Marxist–Leninist thought is characterized by rigidly centralized planning. Such a scheme is in total contrast to the capitalist pattern, in which each entrepreneur decides what to produce and where to invest. Central planning, designed to be more efficient than the capitalist model, in reality proved to be inefficient. It lent itself to abuse and corruption and to the development of a vast bureaucracy that contributed to making life miserable for the average citizen. Nonetheless, despite the disruption caused by purges and the severe losses of life and property in World War II, the Soviet Union, before its breakup, had become the second-largest producing nation in the world, with a higher coal and steel production than that of the United States. That may be one reason why some of the developing nations had elected for a time to follow Marxist–Leninist economic models.

在其最高压的时期，共产主义依然教条地坚持其废除私有财产、在世界各地将生产资料国有化的意图。它继续宣扬阶级斗争、无产阶级专政以及权力集中在一个组织严密的政党的必要性。在它残存的地方，它仍然坚称自己正在努力实现最终目标——无阶级社会。

At its most repressive, communism remained dogmatic in its intent to abolish private property and nationalize the means of production everywhere. It continued to preach the necessity of class warfare, the dictatorship of the proletariat, and the concentration of power in a tightly structured party. Where it survives, it still maintains that it is reaching for that ultimate goal, the classless society.

中国的共产主义

Communism in China

中国共产主义也经历了一段痛苦的历程。共产党领导人毛泽东战胜了腐败的右翼国民党政府后，继承了一个幅员辽阔、人口众多的国家，而其人民大多是赤贫的农民。共产党发动了一系列意识形态洗脑运动，将知识分子、艺术家、房地产和制造业大户以及中产阶级人士普遍定义为“走资派”。他们要么被处决，要么被监禁，要么被送往偏远的农村地区接受“再教育”。尽管这些残酷的手段旨在清除社会中的资产阶级，但中国共产党成功地为曾经饥肠辘辘的中国民众提供了温饱、医疗保健和教育。此外，共产党几乎彻底根除了贪污、卖淫和吸毒等问题，这些问题在共产党夺取政权之前的时期一直盛行，部分原因是外国（包括美国）的剥削。共产党重新分配财产，给人们带来了希望和信心，让他们相信未来的生活会更加美好。与此同时，也出现了一些虐待行为，尤其是在文化大革命期间，人们生活在僵化的教条主义氛围中，默许了对毛泽东的个人崇拜，并生活在担心说出任何政治上可疑的话可能会入狱的恐惧之中。

Chinese communism has also undergone a traumatic experience. When Mao Zedong, the communist leader, triumphed over the corrupt rightist Nationalist Chinese government, he inherited a vast, populous country, whose people for the most part were dirt-poor survival farmers. The Communist Party instituted a number of campaigns of ideological brainwashing in which intellectuals, artists, property and manufacturing plant owners, and middle-class persons, generally, were described as “capitalist-roaders.” They were either executed, imprisoned, or sent to far-off rural areas to be “reeducated.” Despite these cruel methods intended to rid the society of the bourgeoisie, the Chinese communists succeeded in feeding, clothing, providing health care, and educating the formerly starving masses of Chinese. In addition, the communists virtually stamped out graft, prostitution, and drug addiction, problems that had been endemic during the period preceding the communist takeover, partly as a result of foreign (including American) exploitation. The communists redistributed property, giving people hope and confidence that their lives would hold a better future. At the same time, abuses occurred, especially during the Cultural Revolution, as people existed in an atmosphere of rigid dogmatism, acquiescing in the personality cult of Mao and living in the fear that saying something politically suspect might send them to jail.

毛泽东逝世后，邓小平上台执政，毛泽东时代那种惨淡的平等贫困似乎已告一段落。事实上，这位新领导人废除了公社制度，鼓励与西方的贸易和西式的创业，并向西方思想敞开了大门，让中国人民尝到了消费主义的甜头。洗衣机、电视机和迪斯科舞厅对一些人来说已成为现实，而随着过去几十年平均收入翻了两三倍，这些似乎也变得触手可及。

After the death of Mao and with the coming to power of Deng Xiaoping, the bleak egalitarian poverty of the Maoist period seemed to have drawn to a close. The new leader, in fact, abolished communes, encouraged trade with the West and a Western style of entrepreneurship, and opened the door to Western ideas, enabling the Chinese people to taste the joys of consumerism. Washing machines, television sets, and disco dancing became realities for some and seemed to become attainable for many as the average income more than doubled and tripled during the last several decades.

经济改革取得了一系列成功。到访中国的游客无不惊叹于生活水平的提高（对某些人来说）、民众日益增长的乐观情绪以及建筑业的蓬勃发展。然而，政治改革并未紧随经济改革之后，决策仍然由统治精英制定，对民众不负责任。生活水平的提高极不均衡：绝大多数中国人仍然生活在农村地区，从事农业和体力劳动，这些工作的报酬并不高。然而，当今中国的变化令人震惊。2014年，代表经济实际增长率的国内生产总值（GDP）为7.4%，按购买力平价计算为17.63万亿美元，人均GDP为12900美元。与美国徘徊在2%左右的增长率（2014年估计为2.4%）相比，这是一个惊人的数字。这使得中国经济成为仅次于美国的世界第二大经济体。中国的失业率为 4.1%，6.1% 的人口生活在贫困线以下（CIA，2014 年）。

The economic reforms have engendered success after success. Visitors to China are amazed at the improvements in living standards (for some) and the growing optimism of the people, as well as the construction boom. Political reform, however, has not followed economic reform, and decisions continue to be made by the ruling elite with no accountability to the people. And the improvement in living standards is very unequal: the vast majority of Chinese still live in rural areas and are employed in agriculture and manual labor, work that is not highly paid. Nonetheless, the changes in present-day China are astounding. The gross domestic product (GDP) representing the real growth rate of the economy was 7.4 percent in 2014, or $17.63 trillion in purchasing power parity, and $12,900 per capita. This is a tremendous figure, compared to the American growth rate which hovers around 2 percent (an estimated 2.4 percent in 2014). It has allowed the Chinese economy to be the largest after the United States. The Chinese unemployment rate was 4.1 percent, and 6.1 percent of the population lived below the poverty line (CIA, 2014).

图片 14.5如果在今天的中国——表面上仍然是一个共产主义国家——发现一家法拉利经销店，毛泽东一定会感到非常惊讶。

IMAGE 14.5 Mao Zedong would be very surprised to find a Ferrari dealership in today’s China, ostensibly still a communist country.

尽管政府奉行共产主义意识形态，中国仍然涌现出一批富人，其财富之巨远超毛泽东时代人们的想象。根据《福布斯》杂志发布的全球富豪榜，中国有近152位亿万富翁，而这批精英的子女并非被送去学习共产主义意识形态，而是被送去学习高尔夫、芭蕾、私人音乐课程、骑马、滑冰、滑雪等等技能和体验。甚至他们对性的态度也发生了变化：五年前，包含色情内容的书籍和杂志还会受到严格审查和禁制，而如今，隐性色情作品层出不穷，热门网站也发布色情图片和资料。这些变化的推动力在于城市化进程、市场经济带来的更大流动性以及万维网的普及。

Despite the communist ideology subscribed to by the government, China has developed a stratum of wealthy individuals beyond the wildest dreams of the Maoist generation. According to Forbes magazine’s lists of the world’s wealthiest people, China has close to 152 billionaires, and the children of this elite group are sent not to study communist ideology but such skills and experiences as golf, ballet, private music lessons, horseback riding, ice-skating, skiing, and so on. Even their attitudes toward sex have changed: whereas even five years ago books and magazines with sexual content were heavily censored and banned, today soft-core pornography is being published and popular Web sites publish erotic photos and materials. These changes are being attributed to urbanization, greater mobility permitted by the market economy, and the popularity of the World Wide Web.

民主意识形态：民主

Democratic Ideologies: Democracy

尽管许多国家自称“人民民主”，但要真正成为民主国家，仅仅靠一个自封的名称是不够的。民主是一种意识形态、一种哲学、一种理论和一种政治制度。在西方人看来，民主是一种生活方式，它包含着定义个人与社会和政府关系的要素。这些要素可以概括为：（1）理性经验主义，（2）强调个人，（3）国家的工具性，（4）志愿主义，（5）法律背后的法律，（6）强调手段，（7）人际关系中的讨论和同意，（8）所有人的基本平等（Ebenstein，1973）。

Although many nations refer to themselves as “people’s democracies,” it takes more than a self-imposed name to be a democracy. Democracy is an ideology, a philosophy, a theory, and a political system. In the Western view, democracy is a way of life containing elements that define the relations of the individual to society and government. These elements may be summarized as follows: (1) rational empiricism, (2) emphasis on the individual, (3) instrumental nature of the state, (4) voluntarism, (5) the law behind the law, (6) emphasis on means, (7) discussion and consent in human relations, and (8) basic equality of all human beings (Ebenstein, 1973).

更通俗地说，民主意识形态强调个人的价值。个人是民主社会的基本单位，政治体系的价值观和进程都围绕着他/她展开。此外，个人被视为具有独立身份和价值的人，而专制体制则只将个人视为更大社会整体的成员。

In more familiar terms, the democratic ideology stresses the value of the individual. The individual is the basic unit of a democratic society, and both the values and processes of the political system revolve around him or her. Moreover, the individual is considered to be a person with a separate identity and worth, whereas autocratic systems value individuals only as members of a larger social whole.

民主的另一个核心原则是：人人生而自由，不受他人统治，因此，统治的唯一合法基础是人民同意被统治。这一原则建立在约翰·洛克和让-雅克·卢梭关于社会契约的思想之上。根据这些哲学家的观点，社会契约是人民之间达成的相互协议，授权一个后来被称为国家的实体通过颁布和执行一系列法律来保护人民。国家及其政府依赖于同意和契约；本质上，它是人民的受托人，其权力源于人民的同意。国家的存在取决于人民的意愿，除非人民赋予其权力或目的，否则它没有任何权力或目的。

Another central tenet of democracy is the principle that all persons are born free, that they are not subject to the rule of others, and that consequently the only legitimate basis for rule is people’s consent to be ruled. This principle is founded on the ideas of John Locke and Jean-Jacques Rousseau regarding the social contract. According to these philosophers, the social contract was a mutual agreement entered into by people who empowered an entity, later called the state, to protect them by enacting and enforcing a number of laws. The state and its government are dependent on consent and contract; essentially, it is the trustee of the people, and its power derives from their consent. It exists at the pleasure of the people and has no authority or purpose except as assigned by the people.

公民参与以及允许多样性和反对意见蓬勃发展的环境也是民主的要素。前者由受过教育的公民推动，后者之所以重要，是因为自由而独特的个体必然会展现出相互冲突的思想和利益。重要的是，在民主国家，冲突是通过政治进程解决的。

Citizen participation and an environment in which diversity and opposition are allowed to flourish are also elements of democracy. The first is facilitated by an educated citizenry, and the second is important because free and unique individuals will necessarily exhibit ideas and interests that clash. The important point is that in a democracy, conflicts are resolved through the political process.

前述原则可以在所谓的“经典”民主意识形态中找到。当然，民主作为一种政治制度，在与其所基于的意识形态（美国政治制度将在下一章讨论）的转化过程中会遇到障碍。许多现代社会，尤其是西方传统的社会，已经接受了部分民主理想，并将其与特定的经济意识形态相结合。其中最著名的两种是民主资本主义和民主社会主义。

The preceding principles are to be found in what is called the “classic” democratic ideology. Of course, democracy as a political system suffers in the translation from the ideology on which it is based (the American political system will be discussed in the following chapter). Many modern societies, particularly those in the Western tradition, have embraced some of the democratic ideals and combined them with specific economic ideologies. Two of the best known are democratic capitalism and democratic socialism.

民主资本主义

Democratic Capitalism

资本主义的发展是对工业体系及其所要求的一些新态度的一种解释和合理化。然而，资本主义不仅仅是一种经济体系，它与民主制度密不可分，尤其是在美国。一些政治学家将资本主义称为一种亚意识形态，是相互促进的政治和经济理念的融合（Ebenstein，1973，219）。

Capitalism developed as an explanation of and a rationalization for the industrial system and some of the new attitudes that system required. Nevertheless, capitalism is more than an economic system and is inextricably bound up with democracy, particularly in the United States. Some political scientists refer to capitalism as a sub-ideology, a blend of political and economic ideas that are mutually reinforcing (Ebenstein, 1973, 219).

古典资本主义的思想由苏格兰哲学家亚当·斯密在其著名著作《国富论》（1976/1776）中表述，其核心特征包括：相信财产私有制且不限制其积累；存在利润动机；自由市场的活力；以及竞争的存在。这些条件必须在不受政府干预的环境中运作：个体企业家必须自由创新，工人必须自由追求更高的工资，投资者必须自由追求最高回报。政府应放任经济（自由放任），转而履行其维护和平和保卫国家的基本职能。

The ideas of classical capitalism were expressed by Scottish philosopher Adam Smith in his famous treatise, The Wealth of Nations (1976/1776), whose central features included a belief in private ownership of property with no limitation on its accumulation, the existence of a profit motive, the dynamics of a free market, and the presence of competition. These conditions had to operate in an atmosphere of freedom from government interference: individual entrepreneurs must be free to innovate, workers must be free to seek higher wages, and investors must be free to look for the highest returns. Government was to keep its hands off the economy (laissez-faire), tending instead to its basic functions of keeping peace and defending the nation.

财产（或工业经济中的生产资料）的私有制被认为有两大益处。首先，拥有大量资产意味着拥有对资产较少的个人的权力，因此最好将这种权力分散到个人财产所有者手中，而不是集中在国家，否则可能会导致滥用。其次，人们认为，如果每个人都能利用个人激励（包括获取利润的激励）来取得成功，那么从整个社会受益的经济增长意义上的进步将更容易实现。

The private ownership of property (or the means of production in an industrial economy) was considered beneficial in two ways. First, ownership of many assets means having power over individuals who have fewer assets, so it is preferable that such power be diffused among individual property owners rather than being concentrated in the state, where it may lead to abuse. Second, it was believed that progress, in the sense of economic growth for the benefit of the entire society, would be attained more easily if each individual used personal incentive to get ahead, including the incentive to make a profit.

斯密进一步认为，自由市场体系运行平稳，仿佛有一只“看不见的手”在指挥。近代以来，市场体系被称为诱导性计划，以区别于指令性计划。指令性计划是法西斯主义和共产主义体制下中央集权经济所使用的方法。在后者中，政府告诉人们生产什么和生产多少。在市场体系中，没有人告诉生产者生产什么和生产多少；他们根据供求因素自行决定。最终，自由市场带来了消费者主权：消费者创造需求，生产者通过提供所需产品来满足这种需求。

Smith maintained, further, that the free market system worked smoothly, as if an “invisible hand” were directing it. In more recent times, the market system has been called planning by inducement, to differentiate it from planning by direction, a method used in the centralized economies of both fascist and communist systems. In the latter, the government tells people what and how much to produce. In the market system, no one tells producers what and how much to produce; they decide on their own according to factors of supply and demand. Ultimately, then, the free market results in consumer sovereignty: consumers create demand, and producers satisfy this demand by supplying the required products.

古典资本主义也强调竞争的重要性。人们认为，企业家会以最低的价格提供最好的商品，以增加销量（从而提高利润）。在现代资本主义中，由于私人或国家垄断的存在，竞争被削弱了。

Classical capitalism also stressed the importance of competition. It was thought that entrepreneurs would offer the best merchandise at the cheapest price to make more sales (and so more profit). In modern capitalism, competition has been diluted because of the existence of private or state monopolies.

利润动机是古典资本主义的另一个核心，这当然并非新发明。然而，资本主义经济中存在着更多的获利机会，因为资本主义保障了贸易和职业自由、财产所有权自由以及签订合同的自由。在提供所有这些机会的同时，资本主义也允许损失。破产和倒闭是这个体系的一部分，每年都会有一些企业遭受巨额亏损（通常，每十家公司中就有四家报告年度净亏损，并且任何一年成立的十家企业中，有六家会在当年倒闭）。

The profit motive, another central point in classical capitalism, was certainly not a new invention. However, more opportunity for profit exists in a capitalist economy because capitalism guarantees freedom of trade and occupation, freedom to own property, and freedom to make contracts. At the same time that it offers all these opportunities, capitalism also allows for loss. Bankruptcies and failure are part of the system, and every year some enterprises have huge losses (typically, four out of ten corporations report net losses yearly, and of ten businesses begun in any one year, six fail that same year).

古典资本主义经历了诸多变革，如今的资本主义经济被称为混合经济，尤其因为一定程度的政府干预已成为强制性规定。尽管大多数财产仍为私人所有，但政府通过税收和立法来调控经济，甚至控制一定程度的制造和分销。政府的主要职责是确保经济博弈公平进行，避免输家被彻底摧毁。

Classical capitalism has undergone many transformations, and today’s capitalist economies are called mixed economies, particularly because a certain amount of government intervention has become mandatory. Although most property is still held privately, the government regulates the economy through taxation and legislation and even controls a certain amount of manufacturing and distribution. Primarily, the government ensures that the economic game is played fairly and the losers are not totally destroyed.

社会主义

Socialism

社会主义与民主一样，不仅是一种意识形态，也是一种哲学和政治制度，它能够与资本主义共存。社会主义也拥有各种各样的定义，在历史上反映了各种各样的愿景，并承担了多重角色。一般来说，社会主义是一个经济概念，但民主社会主义是一种建立在经济和政治假设之上的意识形态。

Socialism, which like democracy is a philosophy and a political system in addition to being an ideology, is capable of coexisting with capitalism. Socialism is also subject to a vast variety of definitions, has throughout history reflected a large number of visions, and has assumed a multiplicity of roles. In general, socialism refers to an economic concept, but democratic socialism is an ideology that rests on both economic and political assumptions.

民主社会主义

Democratic Socialism

在民主政治体制下实行社会主义经济被称为民主社会主义。英国和斯堪的纳维亚国家是民主社会主义最突出的例子，尽管它们在过去几十年里逐渐偏离了社会主义意识形态。这些社会，也被称为福利国家，并没有通过革命手段上台执政。相反，它们倾向于在民主体制下运作，这种体制通常为议会制，通过选举制度获得政府代表权。在这些社会中，经济政策由当选公职人员执行。

A socialist economy within a democratic political system is called democratic socialism. Great Britain and the Scandinavian countries are the most prominent examples of democratic socialism, although they have departed in degrees from a socialistic ideology in the last few decades. These societies, also called welfare states, did not use revolutionary means to come to power. Rather, they prefer to work within a democratic system, generally parliamentary in nature, which uses the electoral system to obtain representation in the government. Economic policies in these societies are carried out by those who are elected to public office.

民主社会主义最根本的假设是“政治决策的参与应该扩展到经济决策”（Sargent, 1969, 97）。正是这一假设使得该制度具有民主性，因为它规定选民应该能够通过他们选举的政府来控制自身的经济状况，就像他们控制自身的政治状况一样。在其他所有方面，民主社会主义在理论和实践上都接受并支持民主意识形态。

The most fundamental assumption underlying democratic socialism is that “participation in political decision making should be extended to economic decision making” (Sargent, 1969, 97). This assumption is what makes the system democratic because it states that voters should be able to control their economic condition, as they do their political condition, through the government they elect. In all other respects, democratic socialism accepts and supports the democratic ideology, both in theory and in practice.

民主社会主义认为，国家及其政府是人民实现和维持其目标的必要工具。国家必须引领社会实现以下目标：将大部分财产以人民的名义（即公共所有）持有，尤其是所有主要工业、公用事业和交通运输；限制私有财产的积累；以及规范经济。

Democratic socialism assumes that the state and its government are the necessary instruments through which people can achieve and maintain their objectives. The state must lead the society in the following objectives: holding most property in the name of the people (i.e., publicly), especially all major industries, utilities, and transportation; limiting the accumulation of private property; and regulating the economy.

社会主义者还认为，直接计划经济可以防止经济衰退；财富分配应该使人们之间的收入差距很小；全面的福利国家将消除特权，为所有人创造更平等的机会；工人阶级是社会的支柱。

Socialists also believe that direct planning of the economy can prevent depressions; that wealth should be distributed so that there is only a small income differential among people; that a comprehensive welfare state would eradicate special privileges and create more equal opportunities for all; and that the working class is the backbone of the society.

民主社会主义最大的吸引力之一在于它对人道主义问题的关注。社会主义者指责资本家未能解决社会的根本问题——贫困、疾病、不平等——主要是因为他们过于专注于利润。他们认为，只有当经济体系由人民控制时，才能找到解决方案。不幸的是，解决问题的手段有时与问题本身一样糟糕。在社会主义国家，个人享有相当程度的经济保障。有全面的医疗保健计划，并为年老或病重无法工作的人提供食物和住房。与此同时，该制度滋生了一个庞大而复杂的官僚机构，这些机构并不直接对人民负责，而且往往对人民不负责任。从这个意义上讲，民主社会主义面临着与资本主义相同的挑战。

One of the greatest appeals of democratic socialism is its concern with humanitarian issues. Socialists accuse capitalists of failing to solve fundamental problems in society—poverty, disease, inequality—primarily because they are too preoccupied with profits. They maintain that only when the economic system is controlled by the people will solutions be found. Unfortunately, the means of solving the problems are sometimes as bad as the problems themselves. In socialist countries, the individual is provided with a considerable amount of economic security. There is a comprehensive health-care program, and food and housing are available to those too old or too sick to work. At the same time, the system spawns a large, complicated bureaucracy that is not directly answerable to the people and is often not responsive to them. In this sense, democratic socialism faces the same challenges as capitalism.

民主社会主义者认为，通过确保每个人的经济安全，他们正在使每个人享有自由成为可能。民主资本主义者则认为，只有当财产私有化时，人们才能自由地竞争以获得回报。尽管社会主义的目标值得称赞，但它长期以来一直遭受着意识形态的停滞和选举的失败。

Democratic socialists argue that by ensuring everyone of economic security, they are making liberty possible for everyone. Democratic capitalists argue that only when property is held privately are people free to compete for rewards. Despite its commendable goals, socialism has been suffering a long period of ideological stagnation and electoral defeat.

许多过去曾将共产主义和社会主义作为社会经济意识形态的社会，如今却正在背离这些意识形态。由于发现严格的中央集权和计划经济难以操控，这些社会已转向以利润为导向，并通过市场机制制定价格。事实上，共产主义和社会主义似乎在许多方面都趋向于资本主义，而后者由于政府监管力度的加强，正开始融入一些社会主义的元素。政治意识形态综述可访问：www.saylor.org/site/wp-content/uploads/2012/08/POLSC2312.1.4.pdf。

Many societies that had in the past embraced communism and socialism as their socioeconomic ideologies are today straying from them. Having found a strictly centralized, planned economy difficult to manipulate, these societies have adopted the profit motive and price setting through the instrument of a market system. In fact, both communism and socialism seem to be drawing toward capitalism in many respects, while the latter, because of growing government regulation, is beginning to acquire some aspects of socialism. A review of political ideologies may be found at: www.saylor.org/site/wp-content/uploads/2012/08/POLSC2312.1.4.pdf.

政府机构的出现源于人类对社会秩序的需求。当社会规模庞大、结构复杂，无法再通过家庭内部进行社会控制时，某种拥有权威、能够做出对社会具有约束力的决策的机构就变得至关重要。

The institution of government arises from humanity’s need for social order. When social control can no longer be administered within the family because of the size and complexity of a society, some kind of body with the authority to make decisions binding on the society becomes essential.

政府要想获得社会成员的认可，就必须拥有权威。权威的根基可以在于传统、理性和法律，或在于领导者的魅力。权威可以被定义为合法的权力。权力是指一个人或一个群体影响另一个人或一个群体行为的能力。朝着期望的方向。武力或武力威胁是权力的基础。

To be acceptable to members of society, government must have authority. Authority may have a basis in tradition, in reason and the law, or in the charisma of a leader. Authority may be defined as legitimate power. Power is the ability of one person or group to influence the behavior of another person or group in a desired direction. Force or the threat of force underlies power.

政府是一个过程，而国家是代表政府的正式抽象结构。国家的要素包括领土、人口、政府和主权。国家的主要目标是对其公民实施有组织的政治控制，而它之所以能够做到这一点，是因为它在其领土内拥有合法使用武力的垄断权。

Government is process, but the state is the formal abstract structure representing government. The elements of the state are territory, population, government, and sovereignty. The state’s chief aim is to impose organized political control over its citizens, and it can do so because it has a monopoly over the legitimate use of force within its territory.

社会组织成民族国家是历史上相对较新的事件。一个中央政府管辖着一个特定领土，其人民具有相似的特征，从而发展出一种团结和民族认同感。民族主义是民族国家背后的意识形态；它可以被定义为一套关于自身民族优越性以及捍卫其利益高于一切的信念。

The organization of societies into nation–states is a comparatively recent event in history. A central government that oversees a particular territory in which people have similar characteristics develops a sense of unity and nationhood. Nationalism is the ideology behind the nation–state; it may be defined as a set of beliefs about the superiority of one’s own nation and a defense of its interests above all others.

意识形态——构成社会运动和政府形式的基础——是理性、易懂且组织成逻辑思维模式的思想体系。所有社会的政治制度都建立在意识形态结构之上，而意识形态最重要的功能就是使统治者为被统治者所接受。

Ideologies—which underlie social movements and forms of government—are systems of ideas that are rational, intelligible, and organized into a logical pattern of thought. The political systems of societies are all built on ideological structures, and the most important function of ideologies is to make the governors acceptable to the governed.

政治意识形态可以分为专制阵营和民主阵营。专制意识形态的根基在于，它认为政府应该掌握在一个或多个拥有最高权力、凌驾于法律之上的个人手中。在现代社会，传统的专制政体已被极权主义政体所取代，这些政体为人们提供了一种生活方式的处方，其影响波及生活的方方面面。法西斯主义和纳粹主义就是两种典型的右翼极权主义意识形态。

Political ideologies fall into either the autocratic or the democratic camp. The basis of autocratic ideologies is the belief that government should be in the hands of one or more individuals who have supreme power and are above the law. In modern times, traditional autocracies have been replaced by totalitarian regimes that offer prescriptions for a lifestyle with implications in all facets of life. Fascism and Nazism are two such totalitarian ideologies of the right.

共产主义是二十世纪左翼极权主义意识形态，曾广受欢迎，但如今似乎正在衰落。共产主义的核心主张是建立一个平等的社会。其创始人是卡尔·马克思，他将共产主义意识形态建立在唯物主义的基础上，即认为人们的境况和信仰由经济关系决定的理念。尽管马克思在许多观点上都准确而敏锐，但他也在一些问题上犯了错误：革命将发生在何处，工人的民族主义情绪将如何发展，以及资本主义的发展进程。

A totalitarian ideology of the left that enjoyed wide popularity in the twentieth century, but now seems to be on the wane, is communism. Its main thrust is the establishment of an egalitarian society. Its founder was Karl Marx, who based the ideology on materialism, or the notion that people’s conditions and beliefs were determined by economic relationships. Although Marx was accurate and perspicacious on many points, he was also wrong on a number of them: where the revolution would occur, how nationalistic workers would be, and the course of capitalism.

民主是与专制最直接对立的意识形态。它主要关注的是个人及其权利。它假定个人生来理性、道德、平等、自由，并被赋予某些权利。因此，在其政治体系中，国家及其政府被视为仅仅是工具，并充当着委托权力的受托人。资本主义是经济领域的一种次级意识形态。其核心特征包括财产私有制、利润动机的存在、自由市场的活力以及竞争的存在。当今的资本主义经济通常被称为混合经济，因为政府的控制和监管已成为强制性的。

Democracy is the ideology most directly opposed to autocracy. Its primary concerns are individuals and their rights. It postulates that individuals are by nature rational, moral, equal, free, and endowed with certain rights. As a result, in its political system, the state and its government are considered mere instruments and act as trustees of delegated power. Capitalism is a sub-ideology in the area of the economy. Its central features include the private ownership of property, the existence of a profit motive, the dynamics of a free market, and the presence of competition. Today’s capitalistic economies are usually called mixed economies because of the government controls and regulations that have become mandatory.

民主社会主义认为，政治决策的参与应该扩展到经济决策。此外，其假设还包括：主要的国有产业应公有；利润动机和过度竞争不利于公共利益；公共需求应优先于私人需求；广泛的国家计划应避免生产不必要的商品和服务而偏向于必需品；收入差距应较小；全面的福利国家应消除特权。

Democratic socialism assumes that participation in political decision making should be extended to economic decision making. Additional assumptions are that major national industries should be publicly held, the profit motive and excessive competition are against the public good, higher priority should be given to public needs than to private wants, extensive national planning would avoid the production of frivolous goods and services in favor of necessities, only a small income differential should exist, and a comprehensive welfare state should eradicate special privileges.

威权主义： 一种专制政体，权力掌握在绝对君主、独裁者或少数精英手中。权力仅限于政治领域。

authoritarianism A type of autocracy in which power is held by an absolute monarch, dictator, or small elite. Power is limited to the political sphere.

权威对个人的权力或控制，被社会接受为正确和正当的。

authority Power over, or control of, individuals that is socially accepted as right and proper.

独裁统治 一种与民主直接对立的意识形态，政府由掌握着人民最高权力的个人或团体。

autocracy An ideology directly opposed to democracy, in which government rests in the hands of one individual or group who holds supreme power over the people.

魅力型权威： 根据马克斯·韦伯的说法，一种基于个人魅力的领导力的权威。魅力型领导者被认为拥有特殊的天赋，具有吸引力、令人着迷和非凡的特质。

charismatic authority According to Max Weber, a type of authority based on the leadership of a person with charisma. A charismatic leader is thought to possess special gifts of a magnetic, fascinating, and extraordinary nature.

共产主义 一种政治和经济意识形态，其最终目标是政府完全控制经济和完全收入再分配，从而建立一个无阶级社会。

communism A political and economic ideology whose ultimate goal is total government control of the economy and total income redistribution, leading to the creation of a classless society.

民主一种意识形态、哲学、理论和政治制度，假定个人的基本价值以及其理性、道德、平等和拥有特定权利。

democracy An ideology, philosophy, theory, and political system assuming the basic value of the individual, as well as his or her rationality, morality, equality, and possession of specific rights.

民主资本主义： 一种融合了政治和经济意识形态的制度，其宗旨包括财产私有制、利润动机、自由市场经济和竞争。政府在这一体系中的职能是确保经济公平竞争。

democratic capitalism A blend of political and economic ideology whose tenets include the private ownership of property, the profit motive, a free market economy, and competition. The function of government in this system is to ensure that the economic game is played fairly.

民主社会主义： 一种融合了政治和经济意识形态的制度，其主要假设是政治决策的参与应该扩展到经济决策。在这一体系中，政府的职能是控制和引导经济，以造福选民。

democratic socialism A blend of political and economic ideology whose chief assumption is that participation in political decision making should be extended to economic decision making. The function of the government in this system is to control and guide the economy for the benefit of the voters who elected it.

法西斯主义 一种右翼极权主义意识形态，始于贝尼托·墨索里尼统治下的意大利，在各国盛行。

fascism A totalitarian ideology of the right that became prominent in various nations beginning in Italy under Benito Mussolini.

政府： 为维护社会秩序、管控、组织、保护和捍卫人民而设立的关键机构。政府是国家的代理机构；它包含一个政治程序，在这个程序中，代表机构被赋予权力和权威，为社会制定和执行决策，并确保维护秩序和遵守法律。

government A pivotal institution arising out of the need to maintain order, control, organize, protect, and defend the people of a society. Government is the acting arm of the state; it includes a political process in which a body of representatives is endowed with authority and power to make and carry out decisions for the society and see to it that order is maintained and laws are obeyed.

意识形态 一个社会或社会群体所共有并接受的思想、价值观、信仰和态度体系。

ideology A system of ideas, values, beliefs, and attitudes that a society or groups within a society share and accept as true.

法理权威 韦伯认为，法律理性权威是一种被社会成员接受的权威，因为它以理性的方法和法律为基础，并且是为了他们的利益而行使的。

legal-rational authority According to Weber, a type of authority accepted by members of society because it is based on rational methods and laws and is exerted for their benefit.

国家居住在一个政治国家领土内的文化群体。

nation A culture group residing within the territory of a political state.

民族主义： 民族国家背后的意识形态。一套关于本国优越性、捍卫本国利益高于一切的信念。

nationalism The ideology behind the nation–state. A set of beliefs about the superiority of one’s own nation and a defense of its interest above all others.

纳粹主义 在阿道夫·希特勒领导下蓬勃发展的德国法西斯主义。

Nazism The German version of fascism that flourished under the leadership of Adolf Hitler.

政治组成和指导国家政府、其政策和行动的人员和流程。

politics The people and processes that make up and direct the government of the state, its policies, and its actions.

权力： 社会关系中个体不顾阻力坚持自身意愿的可能性。一个人或一个群体在最终的（尽管并不总是显而易见的）武力威胁下，引导另一个人或一个群体的行为朝着期望方向的能力。

power The probability that one individual in a social relationship will carry out his or her own will despite resistance. The ability of one person or group to direct the behavior of another person or group in a desired direction, under the ultimate, though not always obvious, threat of force.

法治一项宪法原则，认为公共权力机构根据具体法律而不是个人权力获得、维持和行使权力。

rule of law A constitutional principle holding that those in public authority derive, maintain, and exercise their powers on the basis of specific laws, and not on the basis of their personal power.

国家政治机构或政府的抽象体现或象征。

state The abstract embodiment, or the symbol, of the political institution or government.

极权主义 一种左翼或右翼的专制主义，其特点是极权主义意识形态、单一政党、政府控制的秘密警察以及统治精英对大众传播、武器和经济的垄断。

totalitarianism A type of autocracy of the left or of the right, characterized by a totalist ideology, a single party, a government-controlled secret police, and a monopoly over mass communications, weapons, and the economy by the ruling elite.

传统权威 按照韦伯的说法，权威是建立在对传统的尊重之上的。

traditional authority According to Weber, authority that is based on reverence for tradition.

中央情报局。2014 年。《世界概况》。www.cia.gov/library /publications/the-world-factbook/geos/ch.html 。

CIA. 2014. The World Factbook. www.cia.gov/library/publications/the-world-factbook/geos/ch.html.

埃本斯坦，威廉。1973。《今日主义》，第7版。新泽西州恩格尔伍德克利夫斯：普伦蒂斯霍尔出版社，第219页。

Ebenstein, William. 1973. Today’s Isms, 7th ed. Englewood Cliffs, NJ: Prentice-Hall, p. 219.

卡尔·J·弗里德里希和兹比格涅夫·布热津斯基。1966年。《极权独裁与专制》。纽约：Praeger出版社，第4页。

Friedrich, Carl J., and Zbigniew Brzezinski. 1966. Totalitarian Dictatorship and Autocracy. New York: Praeger, p. 4.

Friedrich, Carl J.、Michael Curtis 和 Benjamin R. Barber。1969。《透视极权主义：三种观点》。纽约：Praeger出版社，第126页。

Friedrich, Carl J., Michael Curtis, and Benjamin R. Barber. 1969. Totalitarianism in Perspective: Three Views. New York: Praeger, p. 126.

格雷戈尔·A·詹姆斯。1968年。《当代激进意识形态》。纽约：兰登书屋，第20-21页。

Gregor, A. James. 1968. Contemporary Radical Ideologies. New York: Random House, pp. 20–21.

格林菲尔德，利亚。1992。民族主义：通往现代化的五条道路。马萨诸塞州剑桥：哈佛大学出版社。

Greenfield, Liah. 1992. Nationalism: Five Roads to Modernity. Cambridge, MA: Harvard University Press.

Lane, Robert E. 1962. 《政治意识形态：美国普通人为何相信他所做的事情》。纽约：自由出版社，第14-15页。

Lane, Robert E. 1962. Political Ideology: Why the American Common Man Believes What He Does. New York: Free Press, pp. 14–15.

利普塞特，西摩·马丁。1963。《政治家》。纽约花园城：Doubleday出版社，第64页。

Lipset, Seymour Martin. 1963. Political Man. Garden City, NY: Doubleday, p. 64.

MacIver, Robert. 1947. 《政府网络》。纽约：麦克米伦出版社，第17页。

MacIver, Robert. 1947. The Web of Government. New York: Macmillan, p. 17

曼海姆，卡尔。1936。意识形态与乌托邦。纽约：哈考特·布雷斯。

Mannheim, Karl. 1936. Ideology and Utopia. New York: Harcourt Brace.

萨金特，莱曼 T. 1969。《当代政治意识形态》。伊利诺伊州霍姆伍德：多尔西出版社，第97页。

Sargent, Lyman T. 1969. Contemporary Political Ideologies. Homewood, IL: Dorsey, p. 97.

Shils, Edward. 1968. “意识形态的概念”。载于David L. Sills主编的《国际社会科学百科全书》。纽约：麦克米伦自由出版社，第66-76页。

Shils, Edward. 1968. “The Concept of Ideology.” In David L. Sills, ed., The International Encyclopedia of the Social Sciences. New York: Macmillan and Free Press, pp. 66–76.

斯密，亚当。1976/1776。《国富论》。芝加哥：芝加哥大学出版社。

Smith, Adam. 1976/1776. The Wealth of Nations. Chicago: University of Chicago Press.

Weber, Max. 1957. 《社会和经济组织理论》。纽约:自由出版社，第152页，第324-369页。

Weber, Max. 1957. The Theory of Social and Economic Organization. New York: Free Press, pp. 152, 324–369.

Busky, Donald F. 2000.民主社会主义：全球概览。纽约：普雷格出版社。本书对世界各地社会民主党派和政府自十九世纪初至今的发展历程进行了深入、详实的分析。

Busky, Donald F. 2000. Democratic Socialism: A Global Survey. New York: Praeger Publishers. An in-depth, well-referenced analysis of the history of social democratic parties and governments worldwide from their beginnings in the nineteenth century to the present.

托克维尔，亚历克西斯。1969年[原作：1834–1840年]。《论美国的民主》。纽约州花园城：Doubleday/Anchor出版社。本书以一位法国贵族在19世纪30年代的旅途中对美国新政治制度和新社会的视角进行了经典考察。他的洞见至今仍与写作时一样敏锐。

deTocqueville, Alexis. 1969 [orig. 1834–1840]. Democracy in America. Garden City, NY: Doubleday/Anchor. A classic examination of the new political system and the new society of the United States as viewed by an aristocratic Frenchman on a journey in the 1830s. His insights are as sharp now as when he wrote them.

Kershaw Ian Moshe Lewin编，2004年。《斯大林主义与纳粹主义：独裁统治的比较》。纽约：剑桥大学出版社。两位专门研究纳粹主义和斯大林主义的历史学家总结了对这些政治运动的研究。此外，他们还提供了解读当代这两个独裁政权的新视角：个人崇拜、战争机器以及战后德国和俄罗斯民众态度的转变。

Kershaw Ian Moshe Lewin, eds. 2004. Stalinism and Nazism: Dictatorships in Comparison. New York: Cambridge University Press. Two historians who specialize in Nazism and Stalinism summarize the research on those political movements. In addition, they provide new perspectives on these two dictatorships of the modern era: the cult of personality, the war machine, and the changed attitudes in postwar Germany and Russia.

瑟维斯，罗伯特。2007年。《同志们！世界共产主义史》。马萨诸塞州剑桥：哈佛大学出版社。本书概述了各种共产主义意识形态和政权，阐明了构成极权主义的模式。这是一部颇具争议但引人入胜的关于这一重要运动的介绍。

Service, Robert. 2007. Comrades! A History of World Communism. Cambridge, MA: Harvard University Press. A survey of the varieties of communist ideologies and regimes, illustrating the patterns that make up totalitarianism. A controversial, but engaging introduction to this important movement.

塔哈·阿比尔。2005。《尼采，纳粹主义的先知：超人崇拜》。纽约：Author House出版社。本书从哲学角度探讨纳粹主义的根源，并探讨了雅利安主义信仰（一种种族优越性学说）。

Taha, Abir. 2005. Nietzsche, Prophet of Nazism: The Cult of the Superman. New York: Author House. A philosophical look at the roots of Nazism with discussions relative to the belief in Aryanism, a doctrine of racial superiority.

一些值得查看的网站：

Some Web sites to check out:

www.democracyranking.org。全球民主质量年度排名。

www.democracyranking.org. Annual rankings of the quality of democracy around the world.

www.freedomhouse.org/sites/default/files/01152015_2015_final.pdf。文章阐述了民主和自由状态在 2014 年遭受的损害。

www.freedomhouse.org/sites/default/files/01152015_2015_final.pdf. Essays illustrating how democracy and the state of freedom have suffered in 2014.

www.crooksandliars.com/2015/05/bernie-sanders-demonstrates-how-democratic-socialism-works。一位总统候选人谈论他的民主社会主义版本——很可能徒劳无功！

www.crooksandliars.com/2015/05/bernie-sanders-demonstrates-how-democratic-socialism-works. A candidate for the presidency speaks about his version of democratic socialism—most probably in vain!

www.economist.com/news/essays/21596796-democracy。一篇关于过去几十年民主失败的有趣文章。

www.economist.com/news/essays/21596796-democracy. An interesting essay on the subject of democracy’s failure in the past decades.

www.enotes.com/research-starters/economic-systems-communism。对共产主义经济制度的描述。

www.enotes.com/research-starters/economic-systems-communism. A description of communism as an economic system.

www.pewresearch.org/topics/communism。皮尤中心始终提供有趣且严肃的研究。

www.pewresearch.org/topics/communism. The Pew Center always offers interesting and serious research.

此外，搜索法西斯主义、德国、威权主义、独裁等主题，将会找到无数扩大对政府看法的网站。

In addition, searching subjects such as fascism, Germany, authoritarianism, autocracy, etc. will result in countless Web sites that enlarge views about government.

The Government of the United States of America

美利坚合众国政府

在本章中，你将学习

IN THIS CHAPTER, YOU WILL LEARN

• 美国政治制度建立的历史顺序；

• the historical sequence in the establishment of American political institutions;

• 关于行政部门的影响；

• about the implications of the executive branch;

• 立法部门的弱点；

• the weaknesses of the legislative branch;

• 司法部门的职能；以及

• the functions of the judicial branch; and

• 有限政府的重要性。

• the importance of limited government.

我们认为这些真理是不言而喻的：人人生而平等，造物主赋予他们若干不可剥夺的权利，其中包括生命权、自由权和追求幸福的权利。

We hold these truths to be self-1evident, that all men are created equal, that they are endowed by their Creator with certain inalienable Rights, that among these are Life, Liberty and the pursuit of Happiness.

我们美利坚合众国的人民，为了组建更完善的联邦，确立正义，保障国内安宁，提供共同防御，增进公共福利，并且保证我们自己和子孙后代享受自由的祝福，特为美利坚合众国制定本宪法。

We the People of the United States, in Order to form a more perfect Union, establish Justice, insure domestic Tranquility, provide for the common Defense, promote the general Welfare, and secure the Blessings of Liberty to ourselves and our Posterity, do ordain and establish this Constitution for the United States of America.

埃每个美国小学生都熟悉其中的一些词语。它们已经成为我们用来描述部分历史的神话。它们的声音能唤起情感的反应，就像 7 月 4 日飘扬的美国国旗一样。当然，这些词语是我们所珍视的文件的一部分：《独立宣言》和《美国宪法》。尽管我们这些在宪法序言中提到的后人对它们很熟悉，但我们中很少有人会认真思考过这些文件的含义，尤其是它们在当时、在撰写时的含义。因为它们在当时确实是辉煌的，其背后的意识形态所催生的政治制度，尽管可能繁琐低效，但已经很好地服务于美国社会 200 多年。这是很少有社会能够匹敌的纪录。

Every American schoolchild is familiar with at least some of these words. They have become the myths with which we clothe parts of our history. Their sound evokes an emotional response, just like the American flag waving on the Fourth of July. The words, of course, are part of the documents we hold sacred: the Declaration of Independence and the Constitution of the United States. As familiar as they are to us, the posterity mentioned in the preamble to the Constitution, few of us are likely to have thought much about what such documents mean, and especially what they meant then, when they were written. For indeed they were spectacular for their times, and the political system that was spawned by the ideology behind them, cumbersome and inefficient as it may be, has served American society quite well for more than 200 years. That is a record few societies have been able to equal.

美国作为一个国家的诞生可以追溯到1776年《独立宣言》发表之时。在此之前，众所周知，新大陆的定居领土仅仅是英国的殖民地。美国声称存在“长期的滥用和篡夺”，并指责英国国王实行绝对专制，殖民者代表决心“解除彼此联系的枷锁，在世界各国之中，接受自然法和造物主所赋予的独立平等的地位”。换句话说，他们决定建立一个独立的、主权的民族国家。直到13个独立州组成联邦，所有州于1781年批准了《邦联条例》，美国政府才得以成立。直到1788年足够多的州批准了《宪法》，乔治·华盛顿于次年就任第一任总统，美国政府本身才开始运作（参见图15.1 ，了解《邦联条例》下的政府与美国宪法下的政府之间的区别）。

The emergence of the United States as a nation goes back to 1776, at the time of the Declaration of Independence. Until that time, as is well known, the settled territories of the New World had been merely colonies of Great Britain. Claiming a “long train of abuses and usurpations,” and accusing the king of Great Britain of absolute despotism, the representatives of the colonists resolved to “dissolve the bonds which have connected them with another, and to assume, among the powers of the earth, the separate and equal station to which the Laws of Nature and of Nature’s God entitle them.” In other words, the decision was made to establish a separate, sovereign nation–state. This did not happen until the 13 independent states were joined into a union, when the Articles of Confederation were ratified by all the states in 1781. The U.S. government itself began to function only when the Constitution was ratified by a sufficient number of states in 1788 and George Washington was inaugurated as the first president the following year (see Figure 15.1 for the differences between government under the Articles of Confederation and government under the U.S. Constitution).

联邦制与邦联制的比较

A Comparison Between Federalism and Confederation

图 15.2联邦是人民的联盟，也就是说，国家政府和州政府都从人民那里获得权力（通过投票），并通过立法对人民行使直接权力。

FIGURE 15.2 The federal union is a union of people, that is, both the national government and state governments receive authority from the people (through their vote) and exercise direct authority over them through legislation.

除政党外，美国的所有政治制度都是在 1787 年制宪会议上构想和界定的。由于殖民地刚刚为摆脱对英国君主的依赖而发动战争的代表们都明白，即将建立的政府将是共和制，并以民众支持为基础。然而，尽管这些想法在许多人心中激起了积极的共鸣，但代表们对这种新意识形态的有效性却抱有诸多怀疑和愤世嫉俗。它能否转化为一种不会瓦解为暴民统治的政治工具？

With the exception of political parties, all the political institutions of the United States were conceived and delineated at the Constitutional Convention of 1787. As the colonies had just fought a war to free themselves from dependence on a British monarch, it was understood by all the delegates that the government to be established would be republican in nature and based on popular support. However, although these ideas struck a positive chord in many people, there was much suspicion and cynicism among the delegates about the validity of this new ideology. Could it be translated into a political instrument that would not disintegrate into mob rule?

代表们也对《邦联条例》（《独立宣言》后起草的第一份文件）下软弱的中央政府感到不满，该条例设想建立一个由独立州组成的松散邦联。当时，殖民者对一个统一的国家毫无憧憬。他们认为，13个州与邻近各州差异太大，而且这片尚未开垦的广阔大陆也难以实现统一。他们担心，一个覆盖如此广阔地域的共和国难以生存。在独立战争期间，各州都拥有主权国家的权力，并小心翼翼地维护着自己的独立。《邦联条例》确实建立了一个中央政府，但它非常软弱，从长远来看，根本行不通。《邦联条例》的失败导致许多公民坚持认为需要制定一部新宪法。

The delegates were also dissatisfied with the weak central government that had existed under the Articles of Confederation—the first document drawn up after the Declaration of Independence—which envisioned a loose confederation of independent states. At that time, the colonists had no vision of a unified nation. They thought that each of the 13 states was too different from its neighbors and that the huge continent still to be settled did not lend itself to unity. They were fearful that a republic that covered such a vast geographic area could not survive. During the Revolutionary War, each state assumed the powers of a sovereign nation and jealously guarded its independence. The Articles of Confederation did establish a central government, but it was a very weak one and, in the long run, unworkable. The failures of the Articles of Confederation led many citizens to insist that a new constitution was needed.

什么是宪法？

What Is a Constitution?

每一次革命的目标都是建立新的政治秩序。美国革命后，统治者和被统治者之间显然需要达成一项新的协议，以反映社会新的价值观、利益和信仰。

The object of every revolution is to institute a new political order. After the American Revolution, it became apparent that a new agreement was needed between the governors and the governed that would reflect the new values, interests, and beliefs of the community.

对大多数人来说， “宪法”一词指的是过去制定的、用于指导政治程序的特定书面文件。然而，宪法并非必须以书面形式存在。该术语，尤其是其形容词“宪法的”，具有特定的含义和严格的内涵。该术语专门用于描述受制于限制、按照一般规则而非任意行事的政府。换句话说，宪法的存在为政治权力建立了一套有效的约束体系。

To most people, the word constitution suggests a specific written document drawn up in the past to guide political procedures. However, a constitution need not exist in a written form. The term, and especially its adjective, constitutional, has a particular meaning and a strict connotation. The term is reserved to describe a government that is subject to limitations and that operates in accordance with general rules rather than arbitrarily. In other words, the existence of a constitution places a system of effective restraints on political power.

成文宪法的理念在许多民族国家形成过程中的革命斗争中逐渐流行起来。如今，大多数所谓的发达国家都拥有成文宪法。讽刺的是，许多宪政理念的发源地——英国，却没有成文宪法。英国政府的原则和理念都包含在普通法律和成文法中，也包含在《大宪章》（概述了英国臣民应享有的某些自由）中。

The idea of a written constitution became popular during the revolutionary struggles that accompanied the formation of many nation–states. Today, most of the so-called developed nations have written constitutions. Ironically, Great Britain, where many of the ideas of constitutional government originated, does not have a written constitution. The principles and concepts of its government are contained in ordinary laws and statutes, as well as in the Magna Carta, the great charter outlining certain liberties due British subjects.

宪法为政府建立了框架。宪法通过规定政府权力的界限来限制政府的权力。宪法为政府行为提供了具体的程序，并隐含地禁止其他行为。受统治者受到保障，免受统治者可能采取的专断行动的侵害。最终权威在于法律：法律高于统治者和被统治者。

Constitutions establish a framework for government. They limit the power of the government by stating the bounds of its authority. They provide specific procedures for governmental action—and, by implication, forbid other actions. The governed are guaranteed protection against possibly arbitrary actions of the governors. The ultimate authority is vested in the law: the law is supreme over governors and governed alike.

The Constitution of the United States

美国开国元勋之一、第三任总统托马斯·杰斐逊在撰写《独立宣言》时，受到了英国哲学家约翰·洛克的影响。洛克在其《政府论》第二篇中认为，人民继续被“君权神授”的统治，或不受人民控制的世袭贵族统治，是荒谬的。他认为，合法的政府只能由人民自己建立，而且这种政府只能在人民同意的情况下存在。

In writing the Declaration of Independence, Thomas Jefferson—one of the founding fathers of the United States and its third president—was influenced by the English philosopher John Locke. Locke, in his Second Treatise on Government, maintained that it was absurd for people to continue being ruled by the “divine right” of kings, or hereditary aristocracies that were not subject to control by the people. He suggested that legitimate government could be established only by the people themselves, and that such government could exist only by their consent.

美国三权分立制度与英国议会制的比较

A Comparison of the American System of Separation of Powers and the British Parliamentary System

图 15.2

FIGURE 15.2

十三州的代表决心建立一种代表每个人的共同福祉和每个州的利益的政府体制，他们可谓真正的革命者。宪法的签署者被指控图谋维护其（上层）社会阶层的利益。毕竟，他们不仅是商人和新兴工业家，也是富有的地主和专业人士，而他们享有的特权社会地位正开始受到从英国引进的新经济体系——工业主义——的挑战。他们中的一些人可能认为，强大的中央政府可以平息小农和涌入城市的新产业工人的抱怨。当然，并非所有人都相信，一个基于被统治者同意的政府（民主）比一个基于拥有土地的富裕精英统治的政府（贵族）更可取。

In their resolution to develop a system of government that would represent the common good of each person and the interest of each state, the representatives of the 13 states may be considered true revolutionaries. The signers of the Constitution have been accused of plotting to preserve the interests of their (high) social class. They were, after all, wealthy landowners and professionals, as well as merchants and budding industrialists, and their privileged status in society was beginning to be challenged by the new economic system imported from Britain: industrialism. Some of them may have felt that a strong central government would stop the grumbling of the small farmers and the new industrial workers flocking to the cities. And certainly not all were convinced of the desirability of a government based on the consent of the governed (democracy) rather than one based on the rule of a landed, wealthy elite (aristocracy).

一些历史学家声称，当时（18世纪80年代）殖民地中构成上升社会阶层的商人和商人，希望建立一个强大的国家政府，以促进工业和贸易发展，保护私有财产，并偿还他们所欠的公共债务（Current，1983，170）。其他历史学家则认为，制宪者的动机远非唯利是图；但即使他们的动机并非铁板一块，制宪者作为一个阶层确实是最富有的，并且会比普通民众更关心维持现状。

Some historians have claimed that merchants and businessmen, who constituted an ascending social class in the colonies at that time (in the 1780s), wanted a strong national government so that industry and trade would be promoted, private property would be protected, and the public debt—of which they were the creditors—would be paid off (Current, 1983, 170). Other historians have maintained that the motives of the framers were much less mercenary; but even if their motives were not monolithic, it is indeed true that, as a class, the framers were the wealthiest and would have had a greater concern for maintaining the status quo than the general population.

尽管美国革命领袖们并不认为民主的主要原则是更大的平等和民众对政府的参与，但变革之风已经吹拂，革命释放出一些平等主义和民主化倾向，而要加以抑制却为时已晚。

Although greater equality and popular participation in government, the main principles of democracy, were not what the leaders of the American Revolution had in mind, the winds of change were in the air, the Revolution having set loose some egalitarian and democratizing tendencies that it was too late to inhibit.

无论召开这次制宪会议的主要目的究竟是维护权力还是维持现状，人们很快就认识到，需要一部能够为建立新型可行政府奠定基础的成文宪法。这部宪法迅速得到几乎所有州的批准，并广泛参与了投票（只有白人男性参与）。看来，宪法原则得到了包括小农和手工业者在内的广大民众的认可，而且制宪会议记录中也未提及任何旨在维持现状的策略。同样，毫无疑问，一些代表致力于保护少数富裕阶层的权利，但大多数与会代表的主要关切是建立一个能够生存并正常运转，同时服务于社会所有群体利益的政府。

Whether or not the convention was called primarily to preserve power or the status quo, the need for a written constitution that would lay the foundation for a new, workable type of government was soon established. This Constitution was rapidly approved by almost all the states, and voting on the issue was widely held (only by white males). It appears that constitutional principles were accepted by the general population, including small farmers and artisans, and the minutes of the convention do not point to any maneuverings for maintaining the status quo. Again, there is no doubt that some representatives were committed to protecting the rights of a wealthy minority, but the chief concern of the large number of those present was for a government that would survive and be functional while serving the interests of all groups in the society.

所谓法治，是宪法的一项重要原则。（它与大多数专制政权盛行的“人治”截然相反。）法治原则认为，公共权力的获得、维护和行使权力，是基于专门制定的法律，而非基于领导人的意志。因此，民选或任命官员的每一项行为，均在法律授权下进行，并受相关司法机构的裁决。

The so-called rule of law is an important principle of constitutionality. (It is in direct opposition to the “rule of men” that prevails in most autocratic regimes.) This principle holds that those in public authority derive, maintain, and exercise their powers on the basis of laws specifically drawn up and not on the basis of a leader’s will. Consequently, every act of an elected or appointed official is carried out under the authority of the law and is subject to the judgment of appropriate legal authorities.

美国宪法

因此，构成美国政治制度基础的宪法对政府施加了限制。美国政府的四大宪法原则是：（1）联邦制；（2）权力分立与制衡；（3）司法至上；以及（4）有限政府。联邦制确保权力分散，因为在这种制度下，州政府在某些宪法规定的领域（州权）保持最高权力，而国家政府在其他领域保持最高权力。政治权力也因分为三个分支而分散：美国宪法由立法、行政和司法三个部分组成。宪法确立了以美国最高法院为最高权力机构的司法体系。最高法院对政治权力构成了进一步的限制，因为它在解释宪法的含义和意图方面拥有最终权威。最后，由于宪法赋予个人一些不受政府控制的权利和自由，政治权力也受到限制。

The Constitution that underlies the American political system, therefore, imposes restraints on the government. The four major constitutional principles of American government are (1) federalism, (2) separation of power and checks and balances, (3) judicial supremacy, and (4) limited government. Federalism ensures a dispersal of power because it is a system in which state governments retain supremacy in certain constitutionally specified areas (states’ rights), and the national government retains supremacy in others. Political power is also dispersed by its separation into three branches: the legislative, the executive, and the judicial. The Constitution establishes a judiciary system that is topped by the U.S. Supreme Court. The latter constitutes a further restraint on political power because it functions as the final authority in interpreting the meaning and intent of the Constitution. Finally, political power is limited by the fact that the Constitution grants individuals some rights and liberties that are outside the control of the government.

联邦制

Federalism

宪法对美国政府最重要的贡献之一——同时也是一项美国独有的发明——就是我们称之为联邦制的制度。该制度与单一制（政治权力集中在国家政府）和邦联制（政治权力最终属于各州政府）形成鲜明对比。联邦制可以定义为一种在中央国家政府和国家划分成的各个地理区域（就美国而言，即各州）政府之间分配政治权力的制度。每个州在其管辖范围内拥有最高权力。权力的分配在宪法中有所规定，只能通过宪法修正案进行修改，而宪法修正案的制定过程需要国家政府和各州政府的平等参与（参见本章后面概述的宪法限制和义务）。

One of the most important contributions of the Constitution to American government—as well as a peculiarly American invention—has been the system we call federalism. This system is contrasted with a unitary form, in which political power is centralized in a national government, and with the confederate form, in which political power belongs ultimately to the governments of the individual states. Federalism may be defined as a system of distributing political power between a central national government and the governments of the geographic regions into which the nation is divided—in the case of the United States, individual states. The power of each is supreme in its own area. The allocation of power is outlined in the Constitution and may be altered only by a constitutional amendment, a process in which both the national government and the individual states are equally involved (see the constitutional limits and obligations outlined later in the chapter).

至少在理论上，联邦制中的州政府并不从属于中央政府。它们在某些管辖领域拥有主权，并在许多其他领域与中央政府共享主权、权力和决策责任。《宪法第十修正案》界定了分配给国家政府和各州的权力。该修正案明确规定，宪法未明确授予美国政府且未被禁止的权力，属于各州或人民的剩余权力或保留权力。

In theory, at least, the state governments in a federal system are not subordinate to the central government. They are sovereign in certain areas of jurisdiction and share sovereignty, power, and responsibility for decision making with the central government in many other areas. The Tenth Amendment to the Constitution delineates the powers allocated to the national government and to the states. It specifies that those powers not delegated specifically to the U.S. government by the Constitution, and not prohibited by it, are residual or reserved powers for the states or the people.

事实上，美国拥有众多政府。不仅有国家（中央）政府，还有50个州的政府，此外，各州内还有数千个较小的政府单位，例如县、市、镇、特别行政区和学区。所有这些政府之间都存在着特殊的关系。州政府可以创建、变更或废除县、市、镇和特别行政区等较小的政府。州政府比较小的政府更加独立，权力也更大，它们与国家政府共同构成了联邦制度的基础。

The United States, in reality, has a great many governments. Not only is there a national (central) government, but there are also governments in each of the 50 states and, in addition, thousands of smaller governmental units within the states, such as counties, cities, towns and townships, special districts, and school districts. All these governments have a special relationship to each other. State governments can create, change, or abolish the smaller governments of counties, cities, towns, and special districts. State governments are more independent and more powerful than the smaller governments and together with the national government form the basis of the federal system.

宪法限制和义务

Constitutional Limits and Obligations

国家政府和州政府都受到宪法规定的某些限制。这些限制对于联邦制的运作至关重要。例如，各州不得：

Both the national government and the state governments are subject to certain restraints mandated by the Constitution. These limits are necessary for federalism to work. For instance, states are prohibited from:

• 与外国政府签订条约；

• making treaties with foreign governments;

• 铸造货币、发行票据或使用金银币以外的任何货币作为偿还债务的货币；或者

• coining money, issuing bills of credit, or making anything but gold and silver coin a tender in payment of debts; or

• 授权私人干涉其他国家的航运和商业。

• authorizing a private person to interfere with the shipping and commerce of other nations.

未经国会同意，各州不得：

Without the consent of Congress, states cannot:

• 进口或出口税；

• tax imports or exports;

• 对外国船舶征税；

• tax foreign ships;

图片 15.1联邦制取得成功的领域之一是州际公路系统：联邦政府为其建设和维护提供资金，各州政府也提供资金。

IMAGE 15.1 One of the areas in which federalism has been successful is the interstate highway system: the federal government provides funding for its construction and maintenance, as do the governments of individual states.

iStock：© Daniel Stein

iStock: © Daniel Stein

• 和平时期保留军队或船只（国民警卫队除外）；

• keep troops or ships in time of peace (except for the National Guard);

• 与其他州或外国结成联盟或签订契约，因为这可能会增强他们在各州的政治权力，从而可能干扰国家政府的最高权威；或者

• enter into alliances or compacts with other states or foreign nations because it might increase their political power in the states, which might interfere with the supremacy of the national government; or

• 参与战争，除非遭到入侵或面临任何拖延都将造成危险的危险（入侵一个州就等于入侵整个美国）。

• engage in war, unless invaded or in such danger as to make any delay perilous (and, the invasion of one state is equivalent to an invasion of the whole United States).

另一方面，国家政府向各州保证：

The national government, on the other hand, guarantees to each state:

• 共和政体；

• a republican form of government;

• 防止国内叛乱；以及

• protection against domestic insurrection; and

• 国会不会以干涉州履行职责的方式行使权力（今天，这种保护源于政治进程；即，由各州选出的代表参与国会的决策，从而保护各州的权利和利益）。

• that it will refrain from exercising its powers in such a way as to interfere with the state’s ability to perform its responsibilities (today, such protection derives from the political process; that is, from the fact that representatives elected from the states participate in the decisions of Congress, thus protecting states’ rights and interests).

各州之间还负有宪法规定的某些义务：

States also have certain obligations to one another that the Constitution spells out:

• 充分信任和信用：宪法第四条要求各州承认（给予充分信任和信用）其他各州的公共记录、公共法案和民事司法程序。这意味着，如果您在一个州结婚，则在每个州都被视为已婚；如果您在一个州拥有驾照，则可以在其他所有州驾驶（但如果您决定居住在其他州，最终您必须在您居住的州获得驾照）。

• Full Faith and Credit: Article IV of the Constitution requires that each state recognize (give full faith and credit) the public records, public acts, and civil judicial proceedings of every other state. This means that if you marry in one state, you are considered married in every state and if you have a driver’s license in one state you can drive in every other state (although if you decide to reside in a different state, eventually you will have to obtain a license in the state of your residence).

• 引渡：由于大多数刑法是州法，大多数犯罪都是针对州政府而非国家政府的。尽管如此，宪法赋予各州将在其他州犯罪的人引渡回该州接受审判或监禁的权力。这项规定防止罪犯为了逃避起诉而逃往邻州。

• Extradition: Because most criminal law is state law, most crimes perpetrated are committed against the state, not the national government. Nonetheless, states are charged by the Constitution to return a person who has committed a crime in another state to that state for trial or imprisonment. This provision prevents criminals from simply escaping to neighboring states to avoid prosecution.

• 特权与豁免：宪法要求各州向所有恰巧在该州的公民提供其本州居民享有的所有特权与豁免。这项规定旨在防止各州歧视其他州的公民：如果您来自内华达州，前往纽约州，您仍需缴纳与纽约州居民相同的销售税，并且警方有义务为您提供保护。（但也有例外：只有特定州的居民才能在该州的选举中投票，并且在非永久居住州上学的学生在该州的大学支付更高的学费。）

• Privileges and Immunities: The Constitution requires each state to provide all privileges and immunities offered to its own residents to all citizens who happen to be in that state. This provision was meant to prevent states from discriminating against persons from other states: if you travel to New York State and you are from Nevada, you still pay the same sales tax as New York State residents, and the police are obliged to offer protection to you. (But there are exceptions: only residents of a particular state can vote in that state’s elections, and students attending schools in a state in which they do not permanently reside pay higher tuition at that state’s universities.)

联邦制如何发挥作用

How Federalism Has Worked

联邦制在幅员辽阔、地区差异显著、种族和族裔众多的国家尤其有效。这种国家的多元性使得单一制政府不切实际。联邦制也具有诸多优势。在联邦制下，政府更贴近民众。许多人可以亲自参与地方政府众多机构的运作。此外，由于国家政府与州政府共同承担许多项目的实施和指导责任（州际公路系统就是一个例子），行政职能得以分散。此外，各州还可以充当试验场，无需全国参与，即可对立法和立法者的有效性进行检验。

The federal system has worked particularly well in countries of a large size, with considerable regional differences, and with a number of different racial and ethnic groups. The heterogeneity of such a country makes a unitary form of government impractical. And the federal system has a number of advantages. Under a federal system, government is closer to the people. It is possible for many to become personally involved in the numerous agencies of local governments. Also, administrative functions are decentralized because the national government shares with the state governments the responsibility for the implementation and direction of many programs (the Interstate Highway System is one example). In addition, the states act as proving grounds, where both legislation and legislators may be tried for effectiveness without involving the entire nation.

当然，联邦制也有其弊端。其中最主要的是存在着复杂的官僚机构，众多机构对其权限和资源份额争执不休。另一个问题是，一些原本由各州负责的项目，在各州的管理上存在不平等。不仅各州对各种项目的重视程度不同，并据此执行，而且一个项目的实施效果往往取决于各州的资源。教育和福利项目尤其依赖于各州的资源。一个以农业为主、人口稀少的州，分配给福利和教育的资金比一个大型工业州要少。

Of course, federalism also has its disadvantages. Chief among these is the existence of a complex bureaucracy with numerous agencies quibbling and squabbling about the extent of their authority and their share of resources. A further problem is the inequality with which some programs that have been made the responsibility of the states are administered by the different states. Not only does each state place different values on various programs and carry them out accordingly, but often how well a program is carried out depends on the resources of the state. Education and welfare programs are particularly dependent on the resources of the individual states. A predominantly rural, sparsely populated state allocates fewer funds to welfare and education than a large industrial state.

联邦制的性质以及国家政府与各州之间权力的分配方式，在我国历史上经历了诸多变化。此外，由于宪法中对这种分配的规定并不十分明确，最高法院不得不多次介入，从而对联邦制度的形成发挥了一定作用。

The nature of federalism and the way power has been allocated between the national government and the individual states has undergone a variety of changes during our history. In addition, because this allocation is not very clearly outlined in the Constitution, the Supreme Court has had to intervene on a number of occasions and so has had a hand in defining the federal system.

集中化趋势

Trend toward Centralization

部分原因是为了弥补这种不公平，联邦政府越来越倾向于承担以前分配给各州的更多责任。对许多人来说，这种趋势代表着权力的篡夺，他们大声疾呼恢复各州的权利。对另一些人来说，这种趋势是不可避免的，并且是一双值得欢迎的援助之手。国家城市化和工业化带来的问题，例如过度拥挤、失业、犯罪、污染——仅列举一些最显而易见的问题——根本无法由州政府解决。大多数州政府不仅直到最近，政府还一直由反对城市利益的农村因素主导，但他们也缺乏解决这些巨大问题的财政资源和专业知识。

Partially to repair such inequities, the tendency has been for the national government to assume more and more of the responsibilities previously assigned to the states. To many, this tendency represents a usurpation of power, and they clamor for the restoration of states’ rights. To others, the tendency is unavoidable and represents a welcome helping hand. Problems emerging from the urbanization and industrialization of the nation, such as overcrowding, unemployment, crime, pollution—to mention just the most visible ones—simply cannot be solved by state governments. Not only have most state governments until recently been dominated by rural elements opposed to city interests, but they also lack the financial resources and the professional expertise to solve such gigantic problems.

另一方面，联邦政府拥有庞大的资源和众多部门，其工作人员在医疗、教育、警务、交通、社会福利和住房等特定领域都接受过专业培训。总统和国会不能对各州的需求置若罔闻，因为正是各州的公民投票选举他们上任。

The federal government, on the other hand, has both huge resources and many departments whose staffs are trained in specific areas of health, education, policing, transportation, social welfare, and housing. And the president and Congress cannot turn deaf ears to the states’ needs, because citizens of the states are the ones who vote them into office.

在许多情况下，由于各州履行义务效率低下，联邦政府不得不实施联邦控制。民权立法就是一个例子。这项立法由联邦政府通过国会的几项法案强加给各州，旨在迫使各州接受最高法院1954年关于学校种族隔离违宪的裁决。各州落后的另一个领域是消费者保护。这种落后促使联邦政府通过立法，规定其所属机构负责维护肉类检验、汽车安全、包装和贷款真实性以及包括水和空气质量在内的许多其他领域的标准。

In many instances, the federal government has had to impose federal controls because of the inefficiency with which the states were meeting their obligations. An example is civil rights legislation. This legislation was imposed by the federal government on the states, through several acts of Congress, to compel the states to accept the Supreme Court’s 1954 decision that racial segregation in the schools was unconstitutional. Another area in which the states lagged was consumer protection. This lag prompted the federal government to pass legislation making its own agencies responsible for maintaining standards of meat inspection, automobile safety, truth in packaging and lending, and many other areas, including water and air quality.

联邦政府的影响

The Impact of the Federal Government

联邦政府对州和地方政府的最大影响在于其通过众多补助金项目提供的资金。这些补助金最初用于公共土地，但现在以现金形式发放。如今，联邦补助金用于建设和维护高速公路、机场、医院、图书馆、医疗项目、社会保障体系、公共教育、职业教育、公共住房、犯罪控制和福利。这些补助金的目的是平衡富裕州和贫穷州为其居民提供的服务。这些补助金也振兴了一些州级项目，尤其是在资金由州和联邦政府按一定比例共享的情况下。

The federal government has its greatest impact on state and local governments in the funds it makes available through numerous grant-in-aid programs. These grants originally consisted of public land, but now they are in the form of cash. Today, federal grants help build and maintain highways, airports, hospitals, libraries, health programs, the Social Security system, public education, vocational education, public housing, crime control, and welfare. The purpose of these grants is to equalize the services that rich and poor states are able to provide for their residents. These grants have also revitalized some state programs, especially where funds are shared in some proportion between state and federal governments.

然而，拨款制度也受到了批评。在提供援助时，联邦政府有权详细规定地方政府如何使用联邦资金以及用于何种用途。有人提出，更好的收入共享方式是联邦政府将其征收的税收中一定比例返还给各州。小规模的收入共享始于20世纪70年代初。然而，该制度也存在问题，尤其是在分配和控制方面。这些问题可能会损害州内某些群体的利益，最有可能是城市贫民。

The system of grants, however, has been criticized. In granting aid, the federal government has the right to specify in detail how and for what purpose local governments can use federal funds. It has been proposed that a better way of sharing revenues would be for the federal government to return a given percentage of the revenues it collects in taxes to the states. Revenue sharing on a small scale was started in the early 1970s. This system also has problems, however, particularly in allocation and control. These problems may damage some segments of a state’s population, most probably the urban poor.

尽管存在中央集权的趋势，但各级政府之间仍然存在合作。地方、州和联邦机构在几乎无穷无尽的活动中开展合作。社会保障体系、义务兵役制度、国民警卫队等等都是此类合作的范例。联邦政府也曾尝试在区域层面解决问题。田纳西河流域管理局（TVA）就是一个成功的尝试，它负责开发田纳西河流域的资源。对于一个面临诸多问题的幅员辽阔、成分多元的国家来说，这似乎是最可行的体系，因此这种合作联邦制很可能会继续存在下去。

Despite the trend toward centralization, there is cooperation among all levels of government. Local, state, and federal agencies cooperate in an almost endless number of activities. Examples of such cooperation may be found in the Social Security system, the Selective Service, the National Guard, and so on. The federal government has also experimented with trying to solve problems on a regional level. One such experiment, and a successful one, is the Tennessee Valley Authority (TVA), which develops the resources in the area of the Tennessee River basin. Because it seems to be the most workable system for a large, heterogeneous nation faced with many problems, such cooperative federalism is likely to continue to exist.

美国政坛自20世纪90年代开始转向保守主义。这一趋势包括一些政治领导人呼吁将更多权力归还给各州。当然，权力也意味着对各州经济福祉的责任，而这些责任最终将回归到各州公民身上。共和党议员们重新开始争论“州权”立场，援引宪法第十修正案作为限制国家政府在美国社会中适当角色的工具。

A turn toward conservatism in the U.S. political arena began in the 1990s. This trend included exhortations by a number of political leaders to return more power to the states. Of course, power carries with it the responsibility for the economic well-being of the states, which would revert to their citizens. Republican legislators resumed arguing the “states’ rights” position, citing the Tenth Amendment to the Constitution as the instrument that limits the national government to its appropriate role in American society.

权力分立

Separation of Powers

宪法规定了权力分立原则，将立法、行政和司法职能划分给三个独立的政府部门。也就是说，一个部门制定并颁布法律，另一个部门监督法律的实施，第三个部门决定法律是否符合宪法。

The principle of separation of powers is prescribed by the Constitution and provides for the legislative, executive, and judicial functions to be divided among three separate branches of government. That is, one branch formulates and enacts laws, another sees that the laws are carried out, and a third determines whether the laws are in agreement with the Constitution.

权力分立原则对宪法起草者来说并非新鲜事物。当时许多思想家，尤其是约翰·洛克和查尔斯·孟德斯鸠，都曾表达过这一原则。这些思想家认为，对于脆弱的人性而言，过多的权力集中在一个政府机构中过于诱人。尤其值得一提的是，受委托制定法律的人不应同时兼任法律的执行者。

The principle of separation of powers was not new to the writers of the Constitution. It had been expressed by a number of thinkers of the time, particularly John Locke and Charles Montesquieu. These thinkers maintained that it was too tempting for frail human nature to allow too much power to accumulate in one body of government. In particular, persons entrusted to make laws should not also be allowed to execute them.

这三个部门不可能完全独立。立法者并非唯一制定法律的人，总统并非唯一执行法律的人，法院也并非唯一作出判决的人。如果不是这样，政府根本无法采取行动：总统可能拒绝执行国会通过的法律，国会可能拒绝接受法院的裁决，整个系统将陷入僵局。因此，另一项原则，即制衡原则，被纳入其中，以确保三个政府部门能够相互制衡。某些程序确保了每个部门一定程度的独立性，而其他程序则确保了高度的相互依赖性。例如，总统与国会相关的权力是有限的，因为总统不能罢免任何国会议员，也不能缩短或延长他们的任期。反过来，国会与行政部门相关的权力也是有限的，因为国会不能罢免总统，除非通过弹劾，这是一个艰难而令人不快的过程。司法部门独立于其他两个部门，因为最高法院的任命是终身的。此外，最高法院关于宪法原则的宣告对总统和国会均具有约束力。然而，最高法院依赖于其他两个分支，因为最高法院法官的任命是由总统在参议院的建议和同意下做出的。

The three branches cannot be absolutely separate. Legislators are not the only ones who make laws, the president is not the only one who executes them, and the courts are not the only ones who pass judgment. If this were not the case, the government could not act at all: the president might refuse to enforce a law passed by Congress, Congress might refuse to accept the pronouncement of the Court, and the system would be deadlocked. Consequently, another principle, that of checks and balances, was incorporated to ensure that the three governmental branches can check on and balance one another. A degree of independence for each is assured by some processes, whereas a great deal of interdependence is assured by others. For example, the president’s powers relating to Congress are limited, in that the president cannot remove any members of Congress or shorten or lengthen their terms of office. In turn, the powers of Congress are limited in relation to the executive branch, in that Congress cannot remove a president from office except by impeachment, a difficult and unpleasant process. The judicial branch is independent of the other two in that appointment to the Supreme Court is for life. Also, Supreme Court pronouncements on constitutional principles are binding on both the president and Congress. However, the Court is dependent on the other two branches in that appointments to it are made by the president with the advice and consent of the Senate.

简而言之，权力分立原则并非真正意义上的权力分离，而是规定权力共享，因为每个部门都直接参与其他两个部门的运作。在这种情况下，公共政策的责任难以明确。美国权力分立体制与英国议会制（责任集中）的比较，请参见图15.2。

In short, the principle of separation of powers does not really separate powers so much as it provides that they be shared, for each branch is involved directly with the workings of the other two. In such a situation, responsibility for public policy is difficult to pinpoint. For a comparison of the American system of separation of powers and the British parliamentary system, in which responsibility is concentrated, see Figure 15.2.

制衡机制如何运作

How Checks and Balances Work

政府各决策机构均由不同的选区选举产生。总统由符合特定条件的全体国民选举产生。众议院议员由国会选区的选民选举产生。参议院议员由各州选民选举产生。最高法院法官由总统任命，并经参议院批准。三权分立的任期也各不相同，且不相互重叠。因此，不可能一次性完成政府的改组。

Each decision-making body of the government is brought to office by a different constituency. The president is elected by all the citizens of the nation who meet certain requirements. House members are elected by the voters of congressional districts. Senate members are elected by the voters of individual states. And members of the Supreme Court are appointed by the president with Senate approval. The lengths of terms of office are also different for the three branches, and they do not coincide with one another. Consequently, it is impossible to renew the entire government at any one time.

这三个机构都有权监督其他机构的决定。国会分为两院（这种情况称为两院制），每院都对其他机构拥有绝对否决权。未经众议院和参议院批准，法案不能成为法律。国会被赋予立法权或立法制定权，但总统有权提出和发起立法。虽然总统有权否决拟议的立法，但这种否决权可以被国会两院三分之二多数推翻。国会立法分配了权力行政部门。总统拥有军事和外交权力，但签署条约需要参议院三分之二议员的批准。最后，总统的各项计划依靠国会提供资金。

Each of the three bodies has the ability to check on the decisions of the others. Congress is divided into two houses (a condition called bicameralism), each of which has absolute veto power over the other. Bills cannot become law without the approval of both the House and the Senate. Congress is granted legislative or law-making powers, but the president is supposed to recommend and initiate legislation. Although the president has the power to veto proposed legislation, this veto can be overridden by a two-thirds majority of both houses of Congress. It is congressional legislation that allocates power to the executive branch. The president is given power in military and foreign affairs, but the approval of two-thirds of the Senate is necessary for the signing of treaties. Finally, presidential programs depend on Congress for funds.

最高法院法官一旦就任，就拥有相当大的独立性。国会可以调整大法官的人数，并对最高法院审理的案件施加一定程度的控制。大法官也有可能遭到弹劾。反过来，最高法院可以宣布被认为违反宪法的总统行为和国会立法无效。最后一项权力被称为司法审查，宪法并未明确授权，但现在被解释为宪法默示的。

Once they are installed on the bench, Supreme Court members are quite independent. Congress may vary the number of justices and exert a degree of control over the cases heard by the Court. The justices are also subject to impeachment. In turn, the Court can invalidate both presidential actions and congressional legislation that are deemed contrary to the Constitution. This last power, called judicial review, is not specifically authorized by the Constitution but is now interpreted as being implied by it.

对三权分立的批判

Criticism of the Separation of Powers

对三权分立体制的批评五花八门，从繁琐、笨重、缓慢，到权力分散、碎片化，容易“推卸责任”。此外，这些特点导致了一种维持现状的倾向，因为变革来得太缓慢、太痛苦。当立法遭到重要私人利益集团的反对时，政府也会在一定程度上显得无能为力。有时，这种体制似乎显得混乱，缺乏目标。另一方面，与许多议会制相比，该体制确实提供了更高的稳定性。在议会制中，立法部门是最重要的，政府危机可能导致议会要求重新选举。

Criticisms of the system of separation of powers range from the fact that it is cumbersome, unwieldy, and slow to the fact that diffusion and fragmentation of authority make it easy to “pass the buck.” These characteristics, moreover, lead to a tendency to maintain the status quo because changes occur so slowly and painfully. There is also a certain degree of governmental powerlessness in instances when legislation is opposed by important private-interest groups. Sometimes the system seems to be confused and lack purpose. On the other hand, the system does provide more stability than many parliamentary systems, in which the legislative branch is the most important and a government crisis can cause the parliament to call for new elections.

总统职位：行政部门

The Presidency: The Executive Branch

总统职位是经过多次讨论后才在制宪会议上确定下来的。当时，总统职位尚无既定模式可循。大多数当代政府对刚刚独立的美国人来说都是不可接受的。古希腊和古罗马共和国提供了类似委员会的组织中实行多领导模式。但众议员们也担心这些模式容易导致行动瘫痪。最终确定的行政长官职位包括以下特点：（1）只有一名行政长官；（2）确保行政长官任期为四年，只有死亡或弹劾才能终止任期；（3）总统的选举基础独立于国会；（4）行政长官将拥有独立于国会、选举人、人民和各州的某些宪法权力。

The office of the presidency emerged from the Constitutional Convention only after much discussion. At that time, there existed no models on which to pattern the presidency. Most contemporary governments were unacceptable to the recently independent Americans. The old Greek and Roman republics offered models of multiple leadership in committee-like organizations. But these, too, were feared by the representatives as tending to paralyze action. What finally took shape as the office of the chief executive included the following features: (1) there was to be only one chief executive; (2) the executive was ensured a four-year term that could be terminated only by death or impeachment; (3) the electoral base for the presidency would be independent of Congress; and (4) the executive was to be provided with certain constitutional powers independent of Congress, the electors, the people, and the states.

总统的本质

The Nature of the Presidency

制宪会议上，代表们对许多问题未作解答，也未作明确定义。因此，总统职位随着历任总统的任期而不断发展和成型。尽管有人认为总统的权力更多地取决于其说服力而非实际权威，但总统对美国民众的影响却相当巨大。人们普遍认为，总统职位的权力和威望增长幅度超过了其他两个政府部门。由于总统未经国会同意就参与越南战争，以及其他一些被解读为滥用总统特权的行动，一场限制总统权力的运动时有出现。

Many points were left unanswered and undefined by the delegates at the Constitutional Convention. Consequently, the office has continued to evolve and take shape with each individual president. Although it has been said that the power of the office depends more on the president’s capacities as a persuader than on real authority, presidential impact on the population of the United States is considerable. It is also generally felt that the office has grown in strength and prestige to a greater extent than the other two branches of government. As a result of involvement in Vietnam, which began as a presidential action without the consent of Congress, and other actions that have been interpreted as excesses of presidential privilege, a movement to curb presidential power emerges occasionally.

传统上，总统的个性决定了其权力的分配。每位总统似乎都会根据自己对总统职位的理解来塑造总统的职位。有些总统认为，除了宪法明确赋予的权力之外，他们没有任何权力。还有一些总统认为，总统可以做任何事。除非宪法或国家法律明确禁止，否则总统必须履行国家职责。其他人仍然扮演着通常所谓的“看守”角色：他们认为自己的工作纯粹是行政事务。通常，历史往往会表彰那些积极进取、充满活力、真正成为国家政治领袖的总统。

Traditionally, much has depended on the personality of the president. Individual presidents seem to mold the office to fit their perception of it. There have been presidents who believed that they had no authority outside that specifically granted them by the Constitution. There have been others who believed that the president could do anything to fulfill the needs of the nation, unless it was specifically forbidden by the Constitution or by the laws of the country. Others still have taken what is commonly called a caretaker’s role: they have considered their job to be a purely administrative one. As a rule, history has tended to honor the active, dynamic presidents who have become actual political leaders of the nation.

总统的角色

The Roles of the President

总统职位是一个多面性的机构。总统的职责众多，其中包括：

The presidency is a multifaceted institution. Some of the countless roles of the president are:

1. 国家元首。这是一个礼仪性职位，负责迎接外国政要、举行国宴或出席重要项目的启动仪式。

1. Chief of State. This is a ceremonial role that involves greeting foreign dignitaries, holding state dinners, or being present at the launching of important projects.

2. 首席立法者。总统可以发起立法，但要通过立法，仍然需要国会的支持。因此，总统领导力的有效性很大程度上取决于说服、威胁、劝诱或恐吓国会合作的能力。由于国会繁琐的运作方式有时会使其立法领导力不足，总统被迫承担这一角色。在某些政府中，当大多数国会议员与总统意见相左时，两院之间的合作就会变得微乎其微，从而对立法的通过产生负面影响。

2. Chief Legislator. The president may initiate legislation, but the support of Congress is still needed to carry it through. Much of the effectiveness of a president’s leadership, therefore, depends on an ability to persuade, threaten, cajole, or intimidate Congress into cooperating. The role has been forced on the president by default, because the cumbersome nature of Congress makes its legislative leadership less than effective at times. In some administrations, when most of the congressional members have disagreed with the president, cooperation between the two branches has been minimal, affecting negatively the passage of legislation.

3. 首席行政官。总统以此身份领导复杂的联邦官僚机构。联邦机构的控制权由国会共同拥有，国会负责创建这些机构、确定其职能并拨款。总统和国会共同拥有起草预算、重组行政机构以及任免官员的权力。

3. Chief Administrator. In this capacity, the president heads the complex federal bureaucracy. Control over federal agencies is shared with Congress, which creates them, defines their function, and appropriates funds. The president and Congress share the power of drafting the budget, reorganizing administrative agencies, and appointing and removing officials.

4. 首席外交官或外交政策制定者。这或许是总统最重要的职责。总统是美国与外国之间的官方沟通渠道，尽管外交职位的任命和条约的签署需要国会批准。总统也是武装部队总司令，尽管宪法赋予国会征召军队和宣战的权力。因此，总统可以迅速应对战争局势，而无需事先获得国会批准。在一些批评人士看来，某些总统滥用了这一权力（例如在朝鲜、越南、柬埔寨、利比亚、科索沃、阿富汗和伊拉克挑起或加剧冲突）。这一职责一直是国会争论的焦点，国会于1973年通过了《战争权力决议》，试图解决这一问题。根据该决议，总统在派遣美军参与敌对行动之前，必须尽可能地与国会协商；在派遣军队后，必须在48小时内通知国会；未经国会批准，不得在任何外国干预行动中驻军超过60天。

4. Chief Diplomat or Foreign Policy Maker. This is probably the president’s most important role. The president is the official channel of communication between the United States and foreign nations, even though appointments to diplomatic posts and the signing of treaties require congressional approval. The president is also Commander in Chief of the Armed Forces, although the Constitution grants Congress the power to raise armies and declare war. Thus, a president can react to a war situation speedily and without the prior approval of Congress. In the eyes of some critics, certain presidents have abused this power (by initiating or escalating conflicts in North Korea, Vietnam, Cambodia, Libya, Kosovo, Afghanistan, and Iraq). This role has been a major point of contention, which Congress attempted to solve in 1973 by passing the War Powers Resolution. Under this resolution, the president must consult with Congress in every possible instance before involving U.S. troops in hostilities; must notify Congress within 48 hours of having committed troops; and cannot hold troops in any foreign intervention for more than 60 days without congressional approval.

5. 政党领袖。被提名为总统候选人后，候选人将获得政党领袖的头衔，即使此前可能很少参与党派政治。总统将保留这一头衔，其关于党的政策的声明将具有权威性。总统在执行党的纲领方面发挥着重要作用，全国性政党组织也受到总统的密切监督。然而，州和地方政党组织在很大程度上仍不受总统控制。

5. Party Leader. Upon being nominated a candidate for the presidency, the nominee assumes the title of leader of the party, even though involvement in party politics may have been minimal up to this point. This title is retained by the president, whose statements on party policy become authoritative. The president is instrumental in carrying out the party platform, and the national party organization is under close presidential supervision. However, state and local party organizations remain largely outside presidential control.

总统的多重角色迫使首席执行官成为一种万事通。至于宪法制定者们所设想的总统角色，显然他们的意图已经颠倒过来。他们原本设想总统职位是为了最大限度地削弱个人权力，但实际上，总统职位却倾向于最大限度地扩大个人权力。原因很简单：在危机时刻，当需要迅速有效的领导时，国会这个笨重的机构往往缺乏活力。

The numerous roles of the president force the chief executive to be a kind of jack-of-all-trades. As for the presidential role envisioned by the writers of the Constitution, it is obvious that their intent has been reversed. Whereas they had conceived the office as a device for minimizing personal power, in effect, the office tends to maximize it. One reason for this is simple: in time of crisis, when swift and effective leadership is called for, the cumbersome apparatus of Congress tends to be anything but dynamic.

图片 15.2作为国家元首和首席外交官，美国总统必须向世界展现强大而迷人的形象。图中，奥巴马总统在隆重的仪式中接待了印度总理纳伦德拉·莫迪。

IMAGE 15.2 In his roles as head of state and chief diplomat, a U.S. president must present a powerful as well as a glamorous image to the world. Here, among pomp and circumstance, President Obama hosts the Prime Minster of India, Narendra Modi.

国会：立法部门

Congress: The Legislative Branch

立法机构的主要职能是颁布对全国具有约束力的立法。由于立法机构的两院制结构、议员所在州和选区的利益以及行政部门提出的立法提案，立法的制定是一个缓慢而痛苦的过程，需要妥协和协商。为了确保这一过程的公平性，必须考虑各利益群体的意见。因此，立法机构的第二个职能是确保代议制的建立。立法机构的第三个职能是监督，这意味着它必须监督和调查立法机构执行和落实国会授权法律的方式。

The major function of the legislative branch is to enact legislation binding on the entire nation. Because of its two-chamber structure, the interests of the members’ states and districts, and legislation proposed by the executive branch, enacting legislation is a slow and painful process involving compromise and negotiation. For this process to be fair, input from a variety of interests must be taken into account. Thus, the second function of the legislative branch is to ensure a system of representation. The third function of the legislative branch is oversight, which means that it must supervise and investigate the manner in which the legislative bureaucracy is carrying out and implementing the laws Congress mandated.

制宪会议的代表们希望确保新的政府体制能够包含某种形式的民选代表大会。难点在于如何才能就如何才能更好地保护少数富人的利益，免受占多数的普通民众的冲动和过度行为的影响达成一致。此外，代表们还需要公平地协调人口稠密州和人口稀少州的利益。最终达成了一项妥协方案：众议院将成为全国人民的议事场所，参议院将成为各州和少数族裔的议事场所。

The delegates to the Constitutional Convention wanted to make sure that the new system of government would include some sort of popular representative assembly. The difficulty lay in reaching an agreement on how best to protect the interests of the wealthy minority against the impulsiveness and excesses of the common people, who constituted the majority. Further, the delegates needed to reconcile equitably the interests of the heavily populated states with those of the sparsely populated ones. A compromise was finally struck in which the House of Representatives was to be the forum for the people of the entire nation and the Senate the forum of the states and of minorities.

至于人民的实际代表方式，代表们有两种选择。他们可以设计一种基于地理的代表制度，每位立法者代表居住在同一地区的一群人。或者他们可以实行议会制，即人口按政治划分，每位立法者代表一群具有相同政治倾向、居住在同一地理区域的人。第一种方案，也是代表们最终选择的一种方案，被称为单选区制。第二种方案被称为比例代表制。

As to how the people would actually be represented, two alternatives were open to the delegates. They could devise a system of representation based on geography, in which each legislator represented a group of persons living in the same area. Or they could follow the parliamentary system, in which the population was divided politically and each legislator represented a group of persons sharing the same political orientation and living in the same geographic area. The first alternative, which the delegates ultimately chose, is called the single-member constituency system. The second is called the proportional representation system.

再说一次，今天的现实并非建国先辈们所设想的那样。大州和小州之间并没有发生冲突，但参议院确实出现了人口较多的州代表人数不足，而人口稀少的州代表人数过高的情况。参议院是否真正代表少数族裔，众议院是否真正代表全国人民，也都是有争议的问题。

Again, reality today is not what was envisioned by the founders. Conflicts between large and small states have not occurred, but a situation did arise in the Senate in which the more populated states were underrepresented while the sparsely populated states were widely overrepresented. Whether the Senate truly represents minorities and whether the House of Representatives really represents the people on a national scale are also debatable issues.

代表权问题

The Issue of Representation

宪法将众议员的选举方式留给各州自行决定。州立法机构选择将各州划分为国会选区进行选举。由于随着时间的推移，这些选区的人口数量出现差异，导致农村选区的议员人数往往过多，而城市和郊区选区的议员人数往往不足。然而，从1962年开始，重新划分选区的做法正在纠正这种情况。现在，选区必须在每十年人口普查后重新划分。然而，国会议员的选举方式促使一些学者认为，国会代表的并非“全体人民”，而是“一部分人”，即那些倾向于对国家决策施加影响的地方精英。一般而言，国会议员往往不关心公众福祉，而只关心其选区居民的福祉。

The Constitution leaves the manner of election of representatives to the individual states. The state legislatures chose to divide the states into congressional districts for elections. Because in the course of time these districts became populated by different numbers of people, rural districts tended to be overrepresented and urban and suburban districts tended to be underrepresented in the House. Beginning in 1962, however, reapportionment has been correcting this situation. Districts must now be reapportioned every ten years, after the Census. However, the manner in which members of Congress are chosen prompts some scholars to contend that Congress represents not “the people” but “some people,” namely local elites who tend to exert influence on national decision making. And as a general rule, members of Congress tend to be concerned not with the general public welfare but only with the welfare of those in their districts.

国会选民的冷漠进一步加剧了代表权问题，他们中不到一半的人甚至不知道自己的国会代表的名字，也不知道他或她如何对任何特定立法进行投票。过去的研究表明，国会议员似乎并不能代表大多数选民的感受，尤其是在外交关系和社会福利领域。由此可以得出这样的结论：除了民权问题外，国会议员并不了解选民的偏好，选民也并不了解他们的代表的投票行为，即使在重大问题上也是如此。由此可以推断，通常只有少数政治活跃、感兴趣的选民才具有影响力。

The issue of representation is further clouded by the apathy of congressional constituents, less than half of whom even know their congressional representative’s name or how he or she votes on any given legislation. In the past, studies have shown that members of Congress did not seem to represent the feelings of most of their constituents, especially in the sphere of foreign relations and social welfare. The conclusion may be drawn that, except on the subject of civil rights, members of Congress are unaware of their constituents’ preferences, and constituents are unaware of their representatives’ voting behavior, even on major issues. It may be inferred, then, that only a politically active, interested minority of constituents is usually influential.

由于国会是负责制定法律的机构，其主要职能自然是辩论公共议题。参议院相对较少的议员人数（100人）允许进行表面上的自由辩论，但众议院的众议员人数众多却不允许。因此，众议院规则委员会决定重要立法辩论的具体时间，然后将时间平均分配给两党。由于这一职能，规则委员会拥有极强的权力。它决定是否可以提出动议和修正案，有时其权力还会扩大到包括对某些立法的是非曲直作出决定。法案的支持者和立法委员会主席之间可能会达成协议。有时，在就拟议立法的辩论程序制定规则之前，必须从法案中删除一些令人反感的内容。这种有利于掮客政治的情况，随着一套固定的程序规则的采用而有所改善。另一个改进是，委员会的成员人数有所增加，以打破其先前由南方保守派控制的局面。

Because Congress is the body charged with making laws, it is only natural that its main function is to debate public issues. In the Senate, the relatively small number of members (100) permits a semblance of free debate, but the large number of representatives in the House does not. Thus, the House Rules Committee determines the specific time allotted for the debate of important legislation, and time is then divided equally between the two parties. Because of this function, the Rules Committee is very powerful. It determines whether motions and amendments may be made, and this power is sometimes extended to include decisions about the merits of certain legislation. Bargains may be struck between proponents of a bill and chairpersons of legislative committees. Sometimes objectionable items have to be deleted from a bill before a rule is granted as to the procedure to be followed in the debate of proposed legislation. This situation, so accommodating to brokerage politics, has been somewhat improved with the adoption of a fixed set of procedural rules. Another improvement is that the membership of the committees has been enlarged to break its former control by Southern conservatives.

国会委员会

Congressional Committees

辩论只是立法过程中的一个步骤。大部分冗长的审议都围绕着立法的目的、如何才能最好地通过立法、立法措辞等问题展开。制定法律框架，其他类似事项则委托给各委员会，这些委员会实际上是国会的分支机构，或小型立法机构。它们负责控制立法流程。此外，它们还根据具体主题处理提案，每个委员会最终都有望在其领域发展出专业知识。

Debate is only one step in enacting legislation. Most of the tedious deliberations regarding the purpose of the legislation and how best to have it passed, the language in which to frame it, and other points of this nature are delegated to committees, which are, in effect, subgroups of Congress, or legislatures in miniature. They have the responsibility for controlling the flow of legislation. Also, they deal with proposals according to their subject matter, and each committee is eventually expected to develop expertise in its subject.

资历规则。国会组织中最具争议的特征，尤其影响委员会成员分配的特征，就是资历规则。根据这条神圣的规则，每个委员会的主席毫无疑问都会由在委员会任职时间最长的多数党成员担任。因此，获得主席职位的唯一途径是比委员会中的同事任职时间更长，希望自己能连任数次，并祈祷自己的政党是多数党。资历规则遭到了批评，尤其是国会自由派，因为过去自由派议员在委员会主席职位上总是被忽视，而南方民主党人或中西部共和党人则更受青睐。这些国会议员过去常常凭借其选区内有效的党派机器连任。1994年，许多共和党人当选，打破了南方民主党人的统治，共和党成为国会的多数党。民主党在2006年大选中重新获得了一些席位，但目前在参议院中处于少数。共和党在2010年大选中重新控制了众议院，并且仍然占据多数席位。

Seniority Rule. The most controversial characteristic of congressional organization, and one that particularly affects the allocation of members to committees, is seniority rule. According to this hallowed rule, the chair of each committee goes without question to the member of the majority party who has served longest on the committee. The only way to attain a chair, then, is to outlast one’s colleagues on the committee, hope that one is reelected several times, and pray that one’s party is the majority party. Criticism of seniority rule has been voiced, particularly by the liberal segment of Congress, because its members have been, in the past, consistently overlooked for committee chairs in favor of Southern Democrats or Midwest Republicans. These congressional members used to be reelected term after term because of effective partisan machines in their districts. The hold of the Southern Democrats was broken by the election in 1994 of many Republicans, making the Republican Party the majority party in Congress. The Democrats regained a number of seats in the 2006 elections, but are currently in the minority in the Senate. The Republicans regained control of the House in the 2010 election, and are still in the majority.

国会委员会的另一项职能是充当利益集团、游说团体、机构，有时甚至是试图影响委员会成员的私人的顾问。在这一角色中，国会委员会成为不同利益集团和权力集团之间的掮客。他们筛选收到的大量信息，并化解支持或反对某一立法提案的压力。

Another function of congressional committees is to serve as sounding boards for the interest groups or lobbies, agencies, and occasionally private individuals who attempt to influence committee members. In this role, congressional committees become brokers among different interest and power groups. They sift the tremendous amount of information that comes in and stem some of the pressures for or against a given legislative proposal.

委员会主席可以操纵听证会，使某些意见根本得不到讨论。多年来，南方保守派控制着关键委员会，利用这一程序，以及冗长辩论和规则委员会的某些决定，阻挠民权立法。

A committee chairperson can manipulate hearings so that certain opinions are never given a forum at all. This procedure, together with filibustering and certain decisions of the Rules Committee, was used for years by the Southern conservatives in command of key committees to thwart civil rights legislation.

国会的组织结构在一定程度上导致效率低下。老成员固守旧传统，要求年轻成员尊重他们，而各种委员会则拥有强大的影响力，往往能够促成或推翻拟议的立法。新当选的国会议员在当选后不久便会将自己视为精英群体的成员，这往往会影响他们与选举他们的选民之间的关系，但却加强了他们与其他国会议员的联系。事实上，国会议员们确实形成了一个相当排外的俱乐部，为超过3亿人制定立法。（第114届国会参议院的组织结构图和第114届国会成员概况，请访问www.senate.gov/reference/org_chart.htm；www.congress.gov/members；www.opensecrets.org/politicans/ 。）

The organization of Congress leads to a certain degree of ineffectiveness. The older members cling to old traditions and demand deference from the younger members, and various committees exert a powerful influence and can often make or break proposed legislation. Soon after their election, the new members of Congress come to think of themselves as members of an elite group, which tends to interfere with their relationship with the constituents who elected them, but strengthens the bonds with their fellow Congress members. Indeed, members of Congress do form quite an exclusive club, legislating for more than 300 million people. (See an organizational chart of the Senate in the 114th Congress and a profile of the membership of the 114th Congress at www.senate.gov/reference/org_chart.htm; www.congress.gov/members; www.opensecrets.org/politicans/.)

新成员很快意识到，如果不遵守礼仪和传统，他们的立法尝试将无果而终。于是，掮客政治应运而生，新成员会迁就某些年长的关键成员，作为交换，他们被提名进入重要委员会或获得其他好处。

Incoming members soon realize that if they do not abide by the rituals and traditions, their attempts at legislation will get nowhere. Thus, what emerges is brokerage politics, in which new members accommodate certain older key members and in exchange are nominated to important committees or are granted other favors.

国会的从属作用

The Subordinate Role of Congress

批评人士长期以来一直认为，众议院的回应往往是在社会问题出现二三十年后才做出，甚至根本不会做出回应。国会中的年轻议员们一直在努力摆脱过时的习俗和不合时宜的传统，恢复立法机构的主动性和进步观念（图15.4）。

Critics have long said that the House responds 20 or 30 years after social problems arise, if at all. Younger members of Congress have been making renewed efforts to break away from outdated customs and irrelevant traditions and to restore initiative and a progressive outlook to the legislative body (Figure 15.4).

图 15.3

FIGURE 15.3

www.senate.gov/reference/org_chart.htm

图 15.4第 112 届国会参议院组织结构图

FIGURE 15.4 Senate Organization Chart for the 112th Congress

www.senate.gov/pagelayout/reference/e_one_on_teasers/org_chart.htm。2007年5月18日访问。

www.senate.gov/pagelayout/reference/e_one_on_teasers/org_chart.htm. Accessed 5/18/2007.

尽管宪法赋予国会权力，但国会的作用，尤其是在外交和军事领域，一直是从属的。大多数政策提案往往源自行政部门以及军方和工业界的压力团体。因此，国会的职能一直是根据这些提案采取行动，审议其利弊，最终接受、否决或修改拟议的立法。

Although the Constitution gave Congress the potential for power, the role of Congress, especially in the fields of foreign relations and military affairs, has been a subordinate one. Most policy proposals tend to originate in the executive branch and from military and industrial pressure groups. As a result, the function of Congress has been one of acting on these proposals, deliberating on their advantages and disadvantages, and finally accepting, rejecting, or modifying the proposed legislation.

国会的结构本身不利于提高效率和效力。委员会制度以及来自反对利益集团和不同选民的压力不断阻碍和阻挠迅速采取行动。缺乏足够的人员来帮助国会议员就其面临的问题做出明智的决定，进一步加剧了立法程序的惰性。另一个阻碍有效行动的因素是，国会无法同时兼顾国家利益和选民的不同利益。最后，由于得罪选民或上级的国会议员要么无法连任，要么其提案被否决，反对打破现状的倾向十分强烈。所有这些因素最终导致国会被指责不再发起法律，而仅仅满足于批准或否决主要来自白宫的法律（图15.5）。

The very structure of Congress does not lend itself to effectiveness and efficiency. Swift action is constantly impeded and thwarted by the committee system and by pressures from opposing interest groups and different constituencies. Inertia in the legislative process is further encouraged by lack of adequate staffs that could help members of Congress make intelligent decisions on the issues that come before them. Another obstacle to effective action is the fact that Congress cannot be, at the same time, responsive to the national interest and to the diverse interests of its constituents. Finally, because congressional members who displease their constituents or their seniors either fail to be reelected or have their projects defeated, the tendency against rocking the boat is strong. All these factors have in the course of time allowed Congress to be accused of no longer initiating laws but being content merely to approve or veto laws originating mainly in the White House (Figure 15.5).

法案如何成为法律

How a Bill Becomes Law

图 15.5

FIGURE 15.5

最高法院：司法部门

The Supreme Court: The Judicial Branch

最高法院的设立旨在成为抵御多数暴政的最后一道防线。它同时也旨在制衡国会的代表性和总统的独立性。为此，宪法被解读为赋予最高法院司法审查权。

The Supreme Court was designed to represent a final bulwark against majority tyranny. It was also intended as a check on the representational aspect of Congress and on the independent aspect of the presidency. To that purpose, the Constitution has been interpreted as granting the Supreme Court the power of judicial review.

司法审查是指判断总统或国会特定法案或某项州立法是否符合宪法精神和文字的权力。本质上，它拥有宣布法律违宪的权力。这项权力在宪法中并未明确规定，并因其与民主原则不符而受到批评。有人认为，这项权力赋予了最高法院不当的权力，因为最高法院法官并非民选，而且任期为终身。

Judicial review is the ability to judge whether a specific presidential or congressional act or a given piece of state legislation conforms to the spirit and letter of the Constitution. In essence, it is the power to declare laws unconstitutional. This power, which is not explicit in the Constitution, has been criticized on the ground that it is inconsistent with democratic principles. It has been said that it gives undue power to the Supreme Court, whose members are not popularly elected and whose terms are for life.

宪法制定者并未明确司法审查的具体内容。目前对该原则的解释源于经典的“马伯里诉麦迪逊案”。在该案中，首席大法官约翰·马歇尔提出了以下指导方针：

The specifics of judicial review were not made clear by the framers of the Constitution. The current interpretation of the principle stems from the classic decision in Marbury v. Madison, in which Chief Justice John Marshall set forth the following guidelines:

1. 宪法是国家最高法律，对政府三个部门均有约束力。

1. The Constitution is the supreme law of the land, binding on all three branches of government.

2. 宪法有意建立一个权力有限的政府。

2. It is the deliberate intent of the Constitution to create a government with limited powers.

3.因此，无论是国家立法还是州立法，任何违反宪法的行为都是无效的。

3. Therefore, any act of the legislature, either national or state, that is in violation of the Constitution is void.

4. 解释法律绝对属于司法部门的职权范围。

4. It is definitely within the province of the judicial branch to interpret the law.

5. 如果某项法律与宪法相抵触，且该问题提交法院审理，则法官必须宣布该法律无效，以尊重宪法的至高无上性。

5. If a law is repugnant to the Constitution, and the matter comes before a court, its judges are bound to declare the law void in deference to the supremacy of the Constitution.

图片 15.3美国最高法院的大法官是美国政府体制中非常重要的一部分。他们的权力主要在于司法审查程序，即有权宣布国会、总统或州立法机构通过的任何法案违宪。

IMAGE 15.3 The justices who sit on the U.S. Supreme Court represent a very important part of the American form of government. Their power lies mainly in the process of judicial review, which is essentially the power to declare any act passed by Congress, the president, or state legislature as unconstitutional.

尽管司法审查原则在大多数其他民主国家并不常见，但它已成为美国政治生活中一个非常重要的因素。实际上，可以说，美国一些最重要的政策决策并非由国会或行政部门制定，而是由最高法院制定。事实上，最高法院的许多裁决都是为了保护某些少数群体，正如宪法制定者所期望的那样。批评人士认为，其他裁决则带有更为浓厚的政治目的。表15.1列出了最高法院裁决的其他一些有影响力的案件。

Although the principle of judicial review is a feature lacking in most other democracies, it has become a very important factor in American political life. In essence, it may be said that some of the nation’s most relevant policy decisions have been made not by Congress or the executive branch but by the Court. And indeed, many of the Court’s decisions were made to protect certain minorities, just as the framers of the Constitution had intended. Other decisions, according to critics, have had a much more political agenda. Table 15.1 lists other influential cases decided by the Supreme Court.

法院系统

The Court System

宪法仅规定最高法院是国家政府的一部分。国会根据需要设立“下级”或较低级别的法院。由于美国政府采用联邦制，其司法系统十分复杂。除了联邦司法层级结构外，它还包括各州的一套司法层级结构。实际上，每个公民都受两个法院系统的管辖，尽管每个具体案件的性质决定了州法院或联邦法院是否拥有管辖权。联邦法院用于审理涉及宪法、美国法规和条约以及海事法和海商法的任何争议案件。联邦法院还对涉及大使和外交使团成员的案件、州际冲突以及美国作为当事方的任何争议拥有管辖权。

The Constitution provides only for the inclusion of a Supreme Court as part of the national government. Congress establishes “inferior” or lower courts as they become necessary. Because of the federal form of government, the judicial system that has developed in the United States is complex. It includes a set of judicial hierarchies for each state in addition to the federal judicial hierarchy. In effect, each citizen is subject to two court systems, although the nature of each specific case determines whether the state or federal courts have jurisdiction. The federal courts are used in cases arising from any controversy involving the Constitution, the statutes and treaties of the United States, and admiralty and maritime law. Federal courts also have jurisdiction in cases involving ambassadors and members of the diplomatic corps, conflicts between states, and any controversy in which the United States is a party.

州法院虽然不低于联邦法院，但对源于州宪法和州成文法以及州普通法的案件拥有管辖权。如上所述，联邦法院和州法院都是层级结构且相互平行。在联邦系统中，最低级别由 94 个地区法院组成，每个法院最多有 24 名法官。司法部通常在这一级别提起诉讼，因为地区法院对根据美国法律和宪法审理的所有案件拥有管辖权。下一级由 12 个上诉法院代表，每个法院有 3 至 9 名法官。最上面是最高法院。最高法院曾是主权国家之间解决冲突的场所。然而，今天，它审理的大多数案件都是对下级法院裁决的上诉。案件可以通过调卷令进行上诉，或者最高法院可以行使其权力审查另一个法院的裁决。这基本上是最高法院审查下级法院判决的命令。该命令可由最高法院酌情发布，并需经四名法官同意。

State courts, although not inferior to federal courts, have jurisdiction in cases arising from state constitutions and state statutes, as well as out of the common law of their state. As noted, both federal and state courts are arranged hierarchically and parallel one another. In the federal system, the lowest level is composed of 94 District Courts, each with a bench of up to 24 judges. It is at this level that prosecution brought by the Department of Justice usually begins because District Courts have jurisdiction over all cases tried under the laws and Constitution of the United States. The next level up is represented by 12 Courts of Appeal, each having three to nine judges. At the top is the Supreme Court. At one time, the Supreme Court was the forum for airing conflicts among sovereigns. Today, however, most cases it hears are appeals from rulings of lower courts. Cases may be appealed—or the Supreme Court may exercise its power to review the ruling of another court—through a writ of certiorari. This is basically an order by the Supreme Court to review the decision of a lower court. It can be issued at the discretion of the Court and requires the agreement of any four justices.

表 15.1 最具影响力的最高法院案件

TABLE 15.1 The Most Influential Supreme Court Cases

马伯里诉麦迪逊案 (1803年)

Marbury v. Madison (1803)

确立司法审查原则

Established the principle of judicial review

麦卡洛诉马里兰州案 (1819)

McCullough v. Maryland (1819)

加强联邦政府对州政府的权力

Strengthened the power of the federal government over state governments

德雷德·斯科特诉桑福德案 (1857年)

Dred Scott v. Sanford (1857)

认为奴隶是财产，永远不能成为公民

Held that slaves were property and could never become citizens

普莱西诉弗格森案 (1896年)

Plessy v. Ferguson (1896)

阐明“隔离但平等”原则

Set forth the ”separate but equal” doctrine

布朗诉托皮卡教育委员会案（1954年）

Brown v. Topeka Board of Education (1954)

废除“隔离但平等”原则，禁止公立学校实行种族隔离

Abolished the ”separate but equal” doctrine, banning segregation in public schools

米兰达诉亚利桑那州案 (1966年)

Miranda v. Arizona (1966)

认为逮捕人员必须告知嫌疑人他们的权利

Held that arresting officers must inform suspects of their rights

罗诉韦德案 (1973年)

Roe v. Wade (1973)

裁定妇女在隐私权的框架下，有权在怀孕前三个月自由选择堕胎

Decided that women, under the right of privacy, had the freedom to choose abortion during the first three months of pregnancy

司法系统的职能

Functions of the Judicial System

司法系统的主要职能之一是解决冲突。法院和法官审理并裁决提交给他们的争议；他们不会因为法官裁定存在不法行为而启动诉讼程序。换句话说，他们只裁决当事人之间的实际案件或争议，并且采用对抗制程序。对抗制对法官和法院施加了一定的限制。尽管后者拥有相当大的权力，但除非被要求表明立场，否则他们不能行使这种权力。也就是说，尽管他们拥有最终裁定法律的最终权力，但他们必须被动地等待，直到一方起诉另一方，或检察机关提起诉讼，或警方逮捕罪犯，才能采取任何行动。

One of the primary functions of the judicial system is to resolve conflict. Courts and judges hear and rule on disputes that are brought before them; they do not initiate these proceedings on the decision of a judge that a wrong has been committed. In other words, they decide only actual cases or controversies between parties, and they do so in adversary proceedings. The adversary system puts certain constraints on judges and courts. Although the latter have considerable power, they cannot use that power unless they are called to declare themselves. That is, although they have the ultimate ability to rule on what exactly is the law, they must wait passively until one party sues another, or the prosecution files a complaint, or the police arrest a criminal, before they can take any action.

法院和法官守护并维护法律体系和政治结构。在这一职能中，他们执行法律，通过惩罚、裁定赔偿、发布命令以及监督法律机制等程序，确保社会尊重各项宪法、立法、条约和司法判决。

Courts and judges guard and protect the legal system and the political structure. In this function, they administer the law, thus ensuring through such procedures as punishment, awarding damages, issuing orders, and overseeing the machinery of the law that the various constitutions, legislative acts, treaties, and judicial decisions are respected in the society.

他们通过三种方式保障政治结构：通过司法审查解释州或联邦宪法；通过做出限制立法和行政部门过度行为的决策；以及通过保持自身超越和独立于政治和利益集团的压力。他们应扮演中立的裁判者角色。

They guarantee the political structure in three ways: by interpreting state or federal constitutions through judicial review, by making decisions limiting legislative and executive excesses, and by maintaining themselves above and independent of political and interest group pressures. They are expected to act as neutral referees.

最高法院。法官和法院有时会影响政策，因为他们的判决可能会影响和控制未来的立法。由于许多法律具有普遍性，因此各级司法系统的法官的大部分工作都在于解释法律并将其应用于具体案件。例如，汽车过失究竟是什么意思？一辆福特汽车的刹车故障是否构成过失？在行使司法权解释法律并将其应用于具体案件时，法官在某种程度上确实行使了立法权。因此，法官拥有的选择权可能与其他立法机构一样大。这种选择权有时被批评为违反权力分立原则。有些人甚至认为，这可能会将司法机构拉入政治舞台。

The Supreme Court. Judges and courts on occasion mold policy because their decisions may influence and control future legislation. Because many laws are general, much of a judge’s work at any level of the judicial structure lies in interpreting and applying the law to specific cases. For example, what does automotive negligence mean, exactly? Do defective brakes on one Ford Motor Company car constitute negligence? In exercising the judicial power to interpret and apply statutes to specific cases, a judge does, in a certain way, assert law-making power. Thus, judges possess a degree of choice that may be as great as that of other legislative bodies. This element of choice is sometimes criticized as being a violation of the separation of powers. Some even believe that it may pull the judicial institution into the political arena.

事实上，尤其是在最高法院的案例中，批评人士认为，尽管大法官们声称遵循司法克制原则，但最高法院实际上过于激进。批评人士所说的激进主义，是指最高法院的裁决与统治精英当时盛行的主流哲学高度契合，或者其裁决是基于在政治舞台上产生影响的意识形态。在20世纪30年代，粗犷的个人主义哲学盛行，最高法院通过作出许多反对罗斯福总统社会改革尝试的裁决，体现了这种保守主义基调。在20世纪60年代和70年代，政治氛围更加自由，最高法院的裁决也体现了这种自由主义，例如关于民权、妇女权利、堕胎权以及保护美国残疾人的立法的裁决。在2000年的总统大选中，最高法院在乔治·W·布什总统的当选中发挥了决定性作用，这再次反映了一个更为保守的时代。目前，最高法院的保守派大法官占多数，他们的裁决也体现了保守派的议程。例如，哥伦比亚特区曾通过一项严格的枪支管制法，但在2008年由安东宁·斯卡利亚大法官撰写的裁决中，最高法院否决了该法案。尽管国会通过了《麦凯恩-费因戈尔德竞选财务法案》，布什总统也已将其签署成为法律，但最高法院在2010年裁定，企业和工会有权使用无限资金来选举他们选择的候选人，而这是立法明确禁止的。2014年，最高法院裁定，不应限制人们在一个选举季的捐款总额。然而，这项以五比四票通过的裁决，并没有改变原有的规则。目前，个人在两年选举周期内向任何一位候选人捐款的上限为5,200美元。这项裁决将允许富有的捐赠者向联邦选举候选人捐赠任意金额，只要任何候选人获得的捐款不超过5,200美元的上限。法院的这一裁决是基于竞选捐款属于言论自由的一种形式，而言论自由当然受到宪法的保障。

In fact, especially in the case of the Supreme Court, critics maintain that despite the principle of judicial restraint which justices profess to follow, the Supreme Court is actually too activist. By activism, critics mean that its decisions correspond quite closely with the dominant philosophy prevailing among the governing elite at any time, or that its decisions are made according to ideologies that have effects in the political arena. During the 1930s, when the philosophy of rugged individualism was popular, the Court reflected this conservative tone by handing down many decisions against President Roosevelt’s attempts at social reforms. In the 1960s and 1970s, when the political climate was more liberal, Court decisions reflected this liberalism, as exemplified by decisions on legislation regarding civil rights, women’s rights, abortion rights, and legislation protecting Americans with disabilities. Reflecting a more conservative time again, in the 2000 presidential election the Supreme Court played a determining role in the election of President George W. Bush. Currently, the Court has a majority of conservative justices who, with their decisions, are reflecting a conservative agenda. For instance, the District of Columbia had passed a strict gun control law, but in a decision written by Justice Antonin Scalia in 2008, the Court vetoed it. And although Congress had passed the McCain–Feingold campaign finance bill, and President Bush had signed it into law, in 2010 the Court decided that corporations and labor unions have the right to spend unlimited funds to elect candidates of their choice, an item that the legislation had specifically forbidden. In 2014, the Court ruled that there should be no limits on how much money people can donate in total in one electoral season. The decision—five to four—however, left intact the current limit on how much an individual can give to any single candidate during a two-year election cycle—$5,200. This decision will allow a wealthy donor to give as much money as he or she desires to federal election candidates, as long as no candidate receives more than the $5,200 cap. The decision by the Court was rationalized on the basis that campaign donations are a form of free speech, which of course is guaranteed by the Constitution.

正因如此，每届政府都希望任命能够反映自身议程的大法官。共和党政府任命了首席大法官罗伯茨，以及托马斯、阿利托和斯卡利亚等保守派大法官。民主党政府也任命了其他几位他们希望遵循自由主义路线的大法官（但并非所有大法官都做到了）。现任政府任命了最高法院的第二位和第三位女性大法官索尼娅·索托马约尔和埃琳娜·卡根。最高法院的激进主义通常被认为是令人遗憾的，因为法官的中立和公正长期以来赋予了司法体系“法律体系，而非人治”的声誉。

That is why each administration hopes to appoint justices that will reflect its own agenda. Republican administrations appointed Chief Justice Roberts, as well as such conservative justices as Thomas, Alito, and Scalia. Democratic administrations appointed several other justices who, they hoped, would toe a liberal line (but not all of them did). The current administration appointed the second and third women on the Court, Sonia Sotomayor and Elena Kagan. Activism on the part of the Court is generally considered unfortunate because the judges’ neutrality and impartiality have long given the legal system the reputation of being a “system of laws, not of men.”

对最高法院的另一个批评是，其理念的改变与体现这种改变的判决之间往往存在时间差。这通常是由于大法官们脱离政治现实，而这种脱离是他们终身任职的结果。有时，这又是由于他们相对独立于国会和行政管辖权。

Another criticism of the Supreme Court is that there is frequently a time lag between changes in philosophy and the decisions illustrating the changes. Often, this is a result of the justices’ insulation from the facts of political life, which follows from their life terms on the bench. At other times, it is due to their relative independence of congressional and executive jurisdiction.

美国最高法院九位大法官的社会背景进一步体现了他们与执政精英的密切联系。在1967年瑟古德·马歇尔大法官被任命之前，从未有非裔美国人担任过法官。在1981年桑德拉·戴·奥康纳大法官被任命之前，也从未有女性大法官被任命。此外，简要回顾一下他们的生平，就会发现他们中的大多数都来自社会地位显赫、经济宽裕且积极参与政治的家庭（然而，并非所有大法官都是如此；也有少数大法官出身卑微）。因此，有人进一步批评，最高法院做出的一些裁决反映的是美国中上阶层而非大多数美国人的哲学和道德情操。

The nine justices who sit on the U.S. Supreme Court reflect further ties to the governing elites by their social backgrounds. Until the 1967 appointment of Justice Thurgood Marshall, no African American had ever served on the bench. There also were no women appointees until the 1981 appointment of Justice Sandra Day O’Connor. A quick biographical rundown, moreover, reveals that the majority have come from socially prominent, economically comfortable, and politically active families (however, this is not true of all justices; a smaller number come from humbler backgrounds). Hence, the further criticism that some of the decisions handed down by the Court reflect the philosophical and moral sentiments of the American upper-middle class rather than of the majority of Americans.

有限政府的重要性

The Importance of Limited Government

本章开篇指出，宪法制定者的主要关注点之一是建立一个权力有限的政府。有限政府原则对他们至关重要，因为世界历史上充斥着强势政府压迫其统治人民的例子。这一原则至今仍是美国政治体系的基石，值得强调。有限政府是宪政主义的基础，因为在民主传统中，宪法的目的恰恰在于限制政府权力。有限政府原则在宪法中通过前文讨论过的手段得以体现：联邦制、权力分立和司法审查。

It was noted at the beginning of the chapter that one of the chief preoccupations of the framers of the Constitution was to establish a government whose power was limited. This principle of limited government was important to them because the history of the world was full of instances of powerful governments that oppressed the people they ruled. The principle continues to be fundamental to the American political system and bears stressing. Limited government is basic to constitutionalism because, in the democratic tradition, the purpose of a constitution is precisely to limit the power of government. The principle of limited government is expressed in the Constitution through the instruments discussed earlier: federalism, separation of powers, and judicial review.

《权利法案》，尤其是《第一修正案》，对政府进行了进一步的限制。该修正案保障言论、出版、集会和宗教自由，防止专制权力的滥用。第十四修正案禁止各州未经正当法律程序剥夺任何个人的生命、自由或财产。该修正案还禁止各州拒绝给予任何人平等的法律保护。

Further limitations on government are embodied in the Bill of Rights and particularly in the First Amendment. This amendment guarantees the freedoms of speech, of the press, of assembly, and of religion against the exercise of arbitrary power. The Fourteenth Amendment forbids the states to deprive any individual of life, liberty, or property without due process of law. It also forbids them to deny equal protection of the law to anyone.

限制政府权力的目的并非削弱政府。政府必须能够有效应对来自外部的威胁和来自内部的挑战。与此同时，美国建国先贤和当今大多数人都认识到，一个尊重国家和个人权利的国家政府至关重要。

The purpose of limits on governmental power is not to weaken the government. A government must be able to deal effectively with threats from outside and challenges from within. At the same time, the founders of this nation and most people today recognize the importance of a national government that respects the rights of both states and individuals.

《权利法案》所保障的权利尚未完全实现，或许永远也不会实现。争取这些权利的斗争能否持续下去，取决于公民的知情和警觉，以及他们是否渴望指出并纠正任何滥用权利的行为。

The rights guaranteed by the Bill of Rights have not been completely fulfilled. Perhaps they never will be. Whether or not the struggle for the fulfillment of these rights will continue depends on an informed and alert citizenry, eager to point out and correct any abuses.

美国独立战争后发展起来的政治制度以民主意识形态为基础。在将意识形态付诸实践的过程中，产生的最重要的原则之一就是有限政府原则。这一原则由几个典型的美国机构贯彻执行。其中最重要的就是宪法，它规定美国政府是一个受限制并按照一般规则运作的政府。宪法的存在限制了政府的权力，并使法治能够凌驾于拥有权力的个人或团体之上。从本质上讲，宪法规定公共权力的获得、行使和维护其权力是基于法律的。

The political system that developed in the United States following the Revolution was based on the democratic ideology. One of the most important principles that resulted when the attempt was made to translate ideology into practice was the principle of limited government. This principle is carried out by several typically American institutions. The first and foremost of those is the Constitution, which prescribes that American government is a government subject to limitations and operating in accordance with general rules. The existence of a constitution imposes restraints on the power of government and allows the rule of law to prevail over individuals or groups with power. Essentially, the Constitution holds that those in public authority derive, exercise, and maintain their powers on the basis of laws.

美国宪法通过联邦制、权力分立、制衡制度和司法至上原则对政府权力进行限制。联邦制是一种规定州政府和国家政府之间权力划分的制度。权力分立、立法、行政和司法部门的设立以及制衡制度旨在确保权力不会集中在政府的任何一个领域。司法制度和司法审查原则确立了宪法解释的最终权威。权利法案通过赋予个人某些权利和自由来限制政治权力。

The American Constitution imposes restraints on the power of government through the principles of federalism, the separation of powers, the system of checks and balances, and judicial supremacy. Federalism is a system that provides for the division of power between state governments and the national government. The separation of powers, establishing legislative, executive, and judicial branches, and the system of checks and balances are aimed at ensuring that power is not concentrated in any one area of the government. The judicial system and the principle of judicial review establish the final authority for interpretation of the Constitution. The Bill of Rights sets limits on political power by granting individuals certain rights and liberties.

并非所有这些政治条款都如宪法制定者所愿。例如，联邦制已转向集权，因为在当今社会，许多需要政府执行的复杂活动无法由州和地方政府完成。

Not all of these political provisions have worked as the framers of the Constitution intended. Federalism, for instance, has shifted toward centralization because in today’s society many of the complex activities required of government cannot be performed by state and local governments.

行政部门的权力已经超过立法部门，这或许是由于宪法对行政部门的描述含糊不清造成的。此外，由于立法部门运作缓慢且繁琐，总统们发现将一些可能不属于他们的权力僭越为己有是权宜之计。这种情况在危机时期尤其常见。

The executive branch has gained in power over the legislative branch, a fault perhaps of the ambiguity with which the Constitution describes the executive office. In addition, because the legislative branch is slow and cumbersome, presidents have found it expedient to arrogate to themselves powers that may not be properly theirs. This occurs particularly in times of crisis.

最高法院拥有一项强有力的工具，即司法审查。司法审查是指对源自行政部门或立法部门的法律是否符合宪法进行裁决的权力。最高法院的裁决往往反映了政府精英和政治活动家的当前想法。然而，宪法具有足够的灵活性，允许朝着任何人民认为有利的方向进行修改。

The Supreme Court has a powerful tool at its disposal, namely, judicial review. Judicial review is the ability to rule on the constitutionality of laws originating either in the executive or in the legislative branch. The decisions of the Supreme Court have tended to reflect the current thinking of the government elite and of political activists. Nevertheless, the Constitution is flexible enough to permit change in any direction deemed favorable by the people.

制衡方法源于权力分立原则，其中每个政府部门都直接或间接地参与其他部门的工作。

checks and balances The method resulting from the principle of separation of powers in which each branch of government is directly and indirectly involved in the workings of the other branches.

邦联一种政府类型，其政治权力属于各个州的政府。

confederate Type of government in which political power belongs to the governments of individual states.

宪政政府 ，受制于权力，以宪法的制定应当遵循普遍规律，而不是任意妄为。宪法的存在，对政治权力形成了有效的制约。

constitutional government A government that is subject to limitations and operates in accordance with general rules rather than arbitrarily. The existence of a constitution places a system of effective restraints on political power.

联邦制 一种政府形式，权力在中央和地方单位之间分配，每个单位在特定领域保留主权。

federalism A form of government in which power is distributed between the central and regional units, each retaining sovereignty in specified spheres.

补助金 联邦政府向各州提供的资金。

grant-in-aid Funds made available by the federal government to the individual states.

众议院规则委员会： 负责确定重要立法辩论具体时间的委员会。该委员会是众议院最重要的委员会之一。

House Rules Committee The group with the power to determine the specific time allotted for the debate of important legislation. This is one of the most important committees in the House of Representatives.

司法审查 最高法院行使的权力，宣布总统、国会和州的立法行为违反美国宪法。

judicial review The power exercised by the Supreme Court to invalidate presidential, congressional, and state legislative action that it deems contrary to the Constitution of the United States.

宪政政府必须受到这些限制。

limitations A constitutional government is subject to them.

剩余权力或保留权力 根据美国宪法为各州或人民保留的权力。

residual or reserved powers Powers reserved for the states or the people according to the Constitution of the United States.

资历规则 国会严格遵守的一项原则，即委员会主席和成员由其在国会和特定委员会的服务年限决定。

seniority rule A principle strictly adhered to in Congress by which committee chairs and memberships are determined by years of service in Congress and on the particular committee.

权力分立 宪法规定的一种安排，其中三个独立的政府部门分别拥有立法、行政和司法职能。

separation of powers An arrangement prescribed by the Constitution in which three separate branches of government are entrusted with the legislative, executive, and judicial functions.

单一制 政治权力集中的政府形式。

unitary A form of government in which political power is centralized.

Reference

Current, Richard N. 1983. 《北方化南方》。乔治亚州雅典：乔治亚大学出版社。

Current, Richard N. 1983. Northernizing the South. Athens, GA: The University of Georgia Press.

www.usa.gov/Agencies/federal.shtml

乔纳森·奥尔特。2010。《承诺：奥巴马总统执政第一年》。纽约：西蒙·舒斯特出版社。一位受人尊敬的记者兼历史学家，曾有机会进入白宫，对奥巴马总统执政第一年提出了一个引人入胜的视角。

Alter, Jonathan. 2010. The Promise: President Obama, Year One. New York: Simon and Schuster. A respected journalist and historian with access to the White House offers an interesting perspective on President Obama’s first year in office.

塞缪尔·特伦斯。2010。《参议院：美国参议院闭门造车之旅》。纽约：帕尔格雷夫·麦克米伦出版社。本书是了解美国参议院的一扇窗户，展现了参议员们的真实写照，以及他们有时奇特的风俗习惯。

Samuel, Terence. 2010. The Upper House: A Journey Behind the Closed Doors of the U.S. Senate. New York: Palgrave Macmillan. A window on the U.S. Senate, showing candid portraits of the senators, as well as their sometimes bizarre customs and folkways.

Shesol, Jeff。2010。《最高权力：富兰克林·罗斯福与最高法院》。纽约：WW Norton。罗斯福总统如何操纵最高法院，通过一些有助于克服大萧条问题的立法。这段历史记载至今仍具有现实意义。

Shesol, Jeff. 2010. Supreme Power: Franklin Roosevelt vs. the Supreme Court. New York: W. W. Norton. How President Roosevelt packed the Court to pass some of the legislation that helped overcome the problems of the Great Depression. This historical account has relevance today.

如需澄清或其他信息，请查看：

For clarifications or additional information, check out:

www.ushistory.org/gov/

www.whitehouse.gov/our-government

www.propublica.org/special对我们的政府给出了稍微负面一点的看法。

A slightly more negative look at our government is offered by: www.propublica.org/special.

We the People: Democracy in Action

我们人民：民主在行动

在本章中，你将学习

IN THIS CHAPTER, YOU WILL LEARN

• 如何解读民主意识形态，以及在应用于政治体系时如何将其转化为实际术语；

• how the ideology of democracy is interpreted, and how it translates into practical terms when applied to a political system;

• 哪种政治权力定位模式——多元化还是精英主义——最适合美国；

• which model of the location of political power—pluralism or elitism—best fits the United States;

• 利益集团（包括游说团体和政治行动委员会）的性质、功能和积极和消极方面；

• the nature, functions, and negative and positive facets of interest groups (including lobbies and political action committees);

• 政党的性质、职能、目的、弱点或优势；

• the nature, functions, purpose, weaknesses, or strengths of political parties;

• 投票是政治表达的主要形式；

• that voting is the chief form of political expression;

• 在美国，谁有投票权，谁没有投票权；

• who does and does not vote in the United States;

• 公众舆论的含义；以及

• the meaning of public opinion; and

• 大众媒体在政治进程中的重要性。

• the importance of the mass media in the political process.

埃每四年，美国人民都会目睹政治上的歇斯底里。在总统大选正式开始前的几个月里，我们被报纸、杂志、电视节目、网络广告、党代会以及无数的演讲广告淹没。候选人试图说服我们，为什么他们以及支持他们的政党对我们的生活至关重要。每位候选人——以及他们的家人——都要接受对其外貌和人格的细致审视，还要经历一场艰苦的竞选，他们的一举一动都要接受公众的审视和批评。为什么候选人要屈从于这些，向我们许下天花乱坠的承诺？为什么我们要相信他们，投票给他们？我们知道，新政府上任几个月后，大多数的论调和承诺都会被遗忘——或者根本无法兑现。候选人要经历这场严峻的考验，因为他们想要获得与政治职位相伴的权力和特权。而我们选民把他们推上总统宝座，是因为总得有人来领导国家这艘航船。尽管体制运转失灵，个别政客软弱无能，但美国所处的政治体制却实现了权力的和平交接，这是许多其他政治体制未能实现的。只需指出非洲频发的政变和近乎革命的事件，海地和前南斯拉夫等国的悲惨历史，甚至注意到即使在意大利这样的议会民主国家，政府每隔几个月就会垮台，也会出现不稳定的局面，就不得不承认，无论体制好坏，至少它还在运转。它究竟是如何运作的呢？

Every four years, the American people become witness to political hysteria. For months before the actual presidential election, we are inundated by ads in newspapers, magazines, on television programs and in commercials on the Internet, in party conventions, and in innumerable speeches in which candidates try to convince us why they, and the party sponsoring them, are indispensable to our lives. Individual candidates—and their families—are subjected to microscopic examinations of their appearance and character and to grueling campaigns in which their every action and declaration are subject to public scrutiny and criticism. Why do candidates submit to it and promise us the moon? Why do we believe them and vote them into office? Most of the arguments and promises are forgotten—or are impossible to deliver—a few months into the new administration, and we know it. The candidates undergo this trial by fire because they want the power and perquisites that go with political office. And we voters put them into office because somebody has to lead the ship of state. But despite the malfunctions of the system and the frailty of individual politicians, the political system under which Americans live has allowed for a peaceful transfer of power from one administration to the next, something that many other political systems have not been able to achieve. One need only point out the frequent coups and near-1revolutions in Africa, or the tragic histories of countries such as Haiti and the former Yugoslavia, or note the instability even in parliamentary democracies such as Italy, where the government collapses every few months, to be forced to admit that, badly or not, the system at least works. How, exactly, does it work?

美国民主

American Democracy

民主作为一种意识形态，其主要信条之一是政府的权力源自被统治者的同意。这是《独立宣言》的核心思想，被称为“民众同意”。由此可见，个人在影响其生活的公共决策中拥有重要的发言权。这种所谓的“民众参与”政府决策，基于个人尊严这一民主前提，而这一前提正是我们的建国先贤从保障每个人生命、自由和追求幸福的自然法中提炼而来的。

One of the chief tenets of democracy as an ideology is that government derives its power from the consent of the governed. This was the central idea in the Declaration of Independence and is termed popular consent. It follows that the individual has a major voice in determining the public decisions that affect his or her life. This so-called popular participation in the decisions of government is based on the democratic premise of individual dignity, which our founders extracted in turn from the natural law that guarantees each person life, liberty, and the pursuit of happiness.

民众参与必须具有代表性，因为即使在建国之初，国家的规模也不允许完全的个人参与。从建国者的角度来看，民众参与应该通过尊重少数人权利的多数人统治来实现。多数人自治的权利被称为人民主权。公共政策冲突应通过代表多数人的机构做出的决定来解决。代表少数人观点的实体有权试图影响这些决定，并最终改变它们。在在这个过程中，代表少数派观点的人会试图成为多数派。本质上，这就是政治过程。

Popular participation must be representative because the size of the nation, even at its inception, did not permit total personal participation. From the point of view of the founders, popular participation was to be achieved through majority rule with respect for the rights of minorities. The right of the majority to govern itself is called popular sovereignty. Conflicts over public policy were to be resolved through decisions made by a body representing the majority. It was the right of entities representing the minority view to attempt to influence these decisions, and, in the final analysis, change them. In the process, those representing the minority view would try to become the majority. In essence, this describes the political process.

图片 16.1被统治者的同意是民主制度的核心原则，而这在很大程度上是通过投票实现的。然而，并非所有拥有投票权的人都能真正享受到这一特权。

IMAGE 16.1 The consent of the governed, the essential principle in a democracy, is attained for the most part through the vote. Unfortunately, not all those who can vote actually take advantage of this privilege.

iStock：© EdStock

iStock: © EdStock

然而，在代议制民主中，根本问题关乎政治进程的运作。具体来说，它关乎民众对政府决策施加多大程度和何种程度的影响。公职人员在多大程度上代表了民众的意愿？更重要的是，谁来治理？

In a representative democracy, however, the fundamental issue concerns the functioning of that political process. Specifically, it concerns the amount and kind of influence that people exercise over the decisions of government. How representative of people’s wishes are public officials? And, even more basically, who governs?

虽然我们在此关注的是政治进程，但我们不应忘记，美国民主的一个根本特征是个人自由。这一概念多年来一直在演变：起初，它意味着免受政府干预宗教、言论、不合理搜查和扣押等事务的自由。最终，它涵盖了生存自由（例如，免受基于种族、性别、宗教或性取向的歧视）的要求。

Although we are concerned here with the political process, we should not forget that a fundamental trait of American democracy is personal liberty. This concept has changed over the years: at first, it meant freedom from governmental interference in such matters as religion, speech, unreasonable search and seizure, and so on. Eventually, it came to include demands for freedom to be (for instance, to be free of discrimination based on race, gender, religion, or sexual preference).

美国是如何治理的？

How Is America Governed?

治理意味着什么？简而言之，治理就是拥有做出对社会具有约束力的决策的权力。从这个角度来看，谁在美国拥有权力？是意识形态所表达的“人民”吗？还是现实所表明的“某些人”？建国先贤的初衷是让一部分人代表全体人民进行治理。他们实现了自己的初衷吗？

What does it mean to govern? In the simplest terms, to govern is to have the power to make decisions binding on the society. Viewed in these terms, who has power in the United States? Is it “the people,” as the ideology expresses it? Or is it “some people,” as reality indicates? The intent of the founders was to have some people govern as representatives for all people. Have they succeeded in their intent?

美国建国者们构想的经典民主教科书模式被称为多数制模式。该模式将“政府由人民组成”这一表述解读为政府决策应由多数人做出。在这一模式中，民众拥有多种机制，能够直接参与政治进程。政府官员的普选是直接参与的首要机制，但这一机制需要信息灵通、政治活跃的公民承担起责任，明智地选出代表，并击败那些在任期间行为不代表自身利益的公职人员。反过来，公职人员也会因为面临在选举中失败的威胁而积极表现，并对选民表达积极回应。

The classical, textbook model of democracy as conceived by the founders is referred to as the majoritarian model. It interprets the statement that government is to be by the people as meaning that government decisions are to be made by the majority of the people. In this model, several mechanisms are open to people to enable them to participate directly in the political process. The popular election of government officials is the foremost mechanism for direct participation, but this mechanism requires a well-informed and politically active citizenry that takes responsibility for choosing representatives wisely and defeating public officials whose behavior in office does not truly represent them. Public officials, in turn, are motivated to behave well and be responsive to the electorate because of the threat of defeat at the polls.

不仅通过选举选出候选人，而且政府政策也可以通过全民公决来决定。这种机制在全国范围内很少使用，但在州一级使用得相当频繁。公民还需要了解问题、讨论政治并通过称为倡议的过程提出立法。在此过程中，公民散发请愿书，收集所需数量的签名，从而将具体问题提交立法机关。总之，参与式民主的多数制模式假设，如果人们利用可用的机制（计算机技术可以提供额外的机制），他们就可以控制政府，但他们必须了解政府和政治，必须有参与的愿望，并且必须做出理性的决定。

Not only are candidates chosen through elections, but government policies may also be decided through referendums. This mechanism is seldom used nationally but is used quite frequently at the state level. Citizens are also expected to learn about the issues, discuss politics, and propose legislation through a process called initiative. In this process, citizens circulate petitions, gather the required number of signatures, and, thus place specific issues before the legislature. In sum, the majoritarian model of participatory democracy assumes that people can control their government if they take advantage of the mechanisms available to them (and computer technology could offer additional mechanisms), but they must be knowledgeable about government and politics, must want to participate, and must make rational decisions.

显然，这些要求并不符合美国选民的实际情况。正如本章后面将要指出的，只有大约一半的合格选民参加全国选举投票，只有极少数人对政治进程感兴趣或关注政治进程。这一事实促使评论家们推测民主模式以其他方式发挥作用，尽管对于这种意识形态在付诸实践时的效果如何，人们实际上并未达成一致。大多数人确实同意的是，理想与现实之间存在相当大的差距。关于美国政治进程的实际运作方式，两种最流行的对立思想流派（还有许多其他流派）也持有这种共识。一种是精英主义理论。另一种是政治多元化理论，或经纪人统治（妥协统治）。

Obviously, these requirements do not describe the American electorate. As will be pointed out later in the chapter, only about half of eligible voters vote in national elections, and very small minorities are interested in or follow the political process. This fact has prompted commentators to speculate that the democratic model works in other ways, although there actually is no agreement on how closely the ideology functions when translated into practice. What most people do agree on is that there is quite a gap between the ideal and the real. This agreement is shared by the two most prevalent opposing schools of thought on how the political process really works in the United States (there are many others). One is the theory of elitism. The other is the theory of political pluralism, or broker rule (rule by compromise).

精英主义

Elitism

精英主义，也称为阶级理论，是一种思想流派，其前提是社会权力属于有限数量的个人或群体，称为精英。精英主义理论家并不认为这就是应该的样子；他们只是报道他们所看到的事实。卡尔·马克思是一个精英主义者，因为他声称资本主义社会分为资产阶级（拥有生产资料的人）和无产阶级（产业工人）。他还补充说，资产阶级利用政府作为操纵无产阶级的工具。在本世纪，已故社会学家 C. Wright Mills 写道，最重要的决定，包括有关战争与和平的决定，都是由代表企业富豪、军事高层和政治领导层的少数人做出的（Mills，1956/1958）。即使是五星上将德怀特·艾森豪威尔总统在卸任时也曾警告“军工联合体”对政府政策影响的危险。精英主义者也认为，所谓的社会共识实际上是由那些能够通过大众传播媒体操纵大众的精英们建立起来的。竞争只发生在小问题上。利益集团确实众多，但它们的互动并不会导致权力的分散。在精英主义者看来，美国是一种寡头政治（少数人统治）。

Elitism, also called class theory, is a school of thought whose premise is that power in a society belongs to a limited number of individuals or groups, referred to as elites. Elitist theorists do not maintain that this is the way it ought to be; they merely report what they see as facts. Karl Marx was an elitist because he claimed that capitalist societies were divided into the bourgeoisie (those who owned the means of production) and the proletariat (the industrial workers). He added that the bourgeoisie used the government as a tool to manipulate the proletariat. Closer to home and in this century, the late sociologist C. Wright Mills wrote that the most significant decisions, including those concerning war and peace, are made by a handful of people who represent the corporate rich, the military upper echelons, and the political directorate (Mills, 1956/1958). Even President Dwight Eisenhower, who was a five-star general, upon leaving office warned of the danger of the influence of the “military–industrial complex” on government policy. Elitists also maintain that the consensus that supposedly exists in the society is, in reality, established by elites who are able to manipulate the masses through the mass communication media. Competition occurs only when issues are minor. There is indeed a multitude of interest groups, but their interaction does not result in the diffusion of power. In the view of elitists, the United States is a kind of oligarchy (rule by a few).

尽管米尔斯的观点被认为过于极端，无法准确反映现实，但精英主义理论在政治学家中仍然具有很大的影响力。该理论之所以广受欢迎，是因为当如此庞大的选民群体未能参与政治进程时，很难理解民主制度如何运作。许多政治学家曾发表过类似的观点，认为“精英与大众的划分是普遍存在的”（Lasswell & Kaplan，1950，219），并且“统治所有国家的是精英，而非大众”（Dye & Zeigler，1984，414）。在后来的版本中，这句话被修改为：“所有社会都由精英统治，即使是民主社会也是如此”（Dye & Zeigler，1993，19）。大众社会理论也认为，社会由少数拥有权力的人（精英）和众多没有权力的人（大众）组成。此外，所有组织的最终命运都是由少数人或多元精英掌控，这种情况被称为“寡头铁律”。精英与大众的不同之处在于，他们的价值观源于其上层社会经济阶层的出身。精英成员拥有共同的生活方式，并与拥有相同背景的人产生认同，即使在领导角色中，他们代表着其他群体和较低的社会阶层（例如工会主席）。

Although Mills’ views are considered too extreme to reflect reality accurately, the elitist theory continues to have much influence among political scientists. The reason for its popularity is that it is difficult to see how democracy functions when such a large proportion of the electorate fails to participate in the political process. A number of political scientists have made statements to the effect that the “division into elite and mass is universal” (Lasswell & Kaplan, 1950, 219) and that “elites, not masses, govern all nations” (Dye & Zeigler, 1984, 414). In a later edition, this statement was amended to read, “All societies are governed by elites, even democratic societies” (Dye & Zeigler, 1993, 19). The theory of mass society also posits that society consists of the few who have power (the elite) and the many who do not (the masses). Moreover, the ultimate fate of all organizations is to be run by a small minority or plural elites, a situation described as the “iron law of oligarchy.” The elite differ from the masses because they derive their values from their upper socioeconomic class origin. Members of the elite share a common lifestyle and identify with others of the same background, even if, in their leadership role, they represent other groups and lower social classes (for instance, the presidents of labor unions).

精英阶层凭借其崇高的地位掌控着社会资源。美国最大的机构是政府、众多大公司、大银行以及私人金融机构。精英主义理论家认为，这些实体的领导人掌握着统治权力。此外，这些领导人在制定公共政策时，塑造并维护着他们所理解的社会价值观。因此，公共政策反映的并非人民的意愿（或大众的需求），而是精英的价值观。变革确实会发生，但这仅仅是因为精英影响了大众，而不是大众影响精英。

Because of their high status, the men and women who make up the elite control the resources of the society. The largest institutions in the United States are the government, a number of large corporations and big banks, as well as private financial organizations. The leaders of these entities hold the power to govern in their hands, according to elitist theorists. In addition, these leaders, in formulating public policy, mold and uphold the values of the society as they see them. Public policy, then, reflects not the will of the people (or the demands of the masses) but the values of the elite. Change does take place, but only because the elite influence the masses, not the other way around.

精英主义理论家承认，尽管精英与大众之间存在对抗性，但两者之间几乎没有冲突。精英并不违背公众利益。事实上，他们之间意见不一，也不代表一个掌控经济和政治资源的铁板一块的权力结构。精英的权力是相对的：有些精英可能是铁板一块，有些则更具竞争力，有些则缺乏竞争力。有些精英可能控制着经济资源、组织、沟通和/或信息；而有些精英可能只拥有少量的控制权。精英甚至可能受到大众的影响，但更有可能的是，他们最终影响的是大众。

Elitist theorists admit that, despite the adversary nature of the situation, there is little conflict between the elite and the masses. The elite do not work against the public interest. In fact, they disagree among themselves and do not represent a monolithic power structure with exclusive control of the economic and political resources. Elitist power is relative: some elites may be monolithic, others may be more or less competitive. Some may control economic resources, organizations, communication, and/or information; others may have only a small amount of control. The elite may even be influenced by the masses, but it is much more likely that it will influence the masses.

虽然精英模式也有其道理，但接下来讨论的多元主义模式通常被认为更能反映现实。首要原因是，没有我们不可能指出一个可识别的精英群体，但当某个问题出现冲突时，也不一定有一个可识别的精英群体总能获胜。例如，石油、化工、钢铁和通信等行业的少数实力雄厚的公司构成了统治精英的一部分。然而，他们的利益并不总是胜利：环保组织经常迫使这些企业巨头采取措施保护环境，而这些措施与他们追求更高利润的愿望背道而驰。较小的通信公司迫使美国最大的公司之一 AT&T 解散，以打破其在电话系统中的垄断地位。看来，即使是极其富有和强大的实体也会屈服于其他实体的要求。尽管如此，精英主义理论家指出美国历史上某些时期精英确实具有明显优势，这是正确的。

Although a case can be made for the elitist model, the pluralist model discussed next is generally thought to be more reflective of reality. The foremost reason is that no one identifiable elite can be pointed to, nor does one identifiable elite always win when conflict over an issue appears. The few powerful corporations in such industries as oil, chemicals, steel, and communications would, for instance, constitute part of the ruling elite. Yet their interests do not always triumph: environmental groups have often forced these corporate giants to take steps to protect the environment that have run counter to their desire for higher profits. Smaller communication companies forced the breakup of AT&T, one of the nation’s largest corporations, to destroy its monopoly over the telephone system. It seems, then, that even extremely wealthy and powerful entities yield to the demands of others. Nonetheless, elitist theorists are on the mark when they point to certain periods in American history when elites did have a definite advantage.

这种观点——美国不再是一个民主国家，而是一个寡头政治国家，精英占据优势——最近由两位政治学家——普林斯顿大学的马丁·吉伦斯和西北大学的本杰明·佩奇——提出。他们在一项研究中考察了1981年至2002年间关于重大公共政策问题的调查问卷，得出结论：富人掌控着国家政策，而普通美国人无能为力。“我们研究的核心观点是，经济精英和代表商业利益的有组织团体对美国政府政策具有显著的独立影响，而大众利益集团和普通公民则几乎没有或完全没有独立影响力”（吉伦斯和佩奇，2014）。

This idea—that the United States is no longer a democracy but an oligarchy and that elites have an advantage—has been expressed most recently by two political scientists, Martin Gilens of Princeton University and Benjamin Page of Northwestern. In research that examined survey questions about major public policy issues between 1981 and 2002, they conclude that it is the wealthy who control national policy, and average Americans are powerless. “The central point that emerges from our research is that economic elites and organized groups representing business interests have substantial independent impacts on U.S. government policy, while mass-based interest groups and average citizens have little or no independent influence” (Gilens & Page, 2014).

多元主义

Pluralism

根据多元主义的观点，决策权分散在众多利益集团之间，而非集中在任何个人或团体手中。尽管利益集团之间持续存在竞争，但当利益集团自身利益受损时，他们就会结成联盟。他们试图就决策问题达成妥协性的解决方案。

According to the pluralist view, decision-making power is diffused among numerous interest groups rather than being concentrated in any single person or group. Although interest groups continually compete with one another, they unite in coalitions when it is to their benefit to do so. They attempt to reach compromise solutions to the problems of decision making.

政治学家认为，政治多元化模式包括以下假设和论点。首先，政治的基础是权力斗争。这场斗争的各方是有组织的利益集团。其次，这些有组织的利益集团的数量和多样性促进了政治体系的稳定。对基本问题达成的基本共识（协议）可以抑制群体冲突，从而确保稳定。政治家作为经纪人的角色、利益集团成员的重叠以及新利益集团不断形成的可能性进一步增强了稳定性。虽然群体谈判是由所谓的精英进行的，但他们通过选举对人民负责并对人民负责。

Political scientists maintain that a model of political pluralism includes the following assumptions and arguments. First, the basis of politics is the struggle for power. The parties to this struggle are organized interest groups. Second, the stability of the political system is promoted by the great number and diversity of these organized interest groups. Stability is ensured by an underlying consensus (agreement) on basic issues that acts to restrain group conflicts. Stability is further enhanced by the role of politicians as brokers, by overlapping memberships in interest groups, and by the possibility of the continuous formation of new interest groups. Although group bargaining is performed by what could be called elites, these are responsive and accountable to the people through elections.

简而言之，政治学家罗伯特·A·达尔（Robert A. Dahl）表达了多元主义的立场。他认为，美国的权力是按照多元模式分配的，在这种模式下，政府决策既不受多数派的影响，也不受少数派的影响。相反，这种政策制定源于“对相对少数群体的持续绥靖”（Dahl, 1956, 146）。绥靖的过程是持续的讨价还价或经纪人规则。达尔认为，多元民主的基本原理是“不应存在单一的主权权力中心，而应存在多个权力中心，其中任何一个都不能完全拥有主权”（Dahl, 1967, 24）。多元主义模式的焦点并非个人公民，而是利益集团。个人公民不再承担了解和参与政治进程的义务。这项义务被转移到专门的群体，特别是这些群体的领导人身上。利益集团的力量促成了政府结构的分散化，使少数人能够对多数人施加决策权。

In short, the pluralist position is expressed by political scientist Robert A. Dahl when he says that power in the United States is distributed according to a pluralistic model in which neither a majority nor a minority is responsible for governmental decision making. Rather, such policy making results from the “steady appeasement of relatively small groups” (Dahl, 1956, 146). The process through which appeasement occurs is continual bargaining or broker rule. The fundamental axiom of pluralist democracy, according to Dahl, is that “instead of a single center of sovereign power there must be multiple centers of power, none of which is or can be wholly sovereign” (Dahl, 1967, 24). The focus in the pluralist model is not the individual citizen but interest groups. The individual citizen is relieved of his or her duty to have knowledge of and interest in the political process. This duty is passed on to specialized groups and, specifically, to the leaders of such groups. The strength of interest groups contributes to a decentralized government structure, making it possible for minorities to exert decision-making power over the majority.

尽管当代一些利益集团政治分析家似乎接受多元主义，认为群体间的斗争最终会导致或多或少多数人的决定，但其他分析家指出，由于集体行动分散在许多个体之间，决策制定存在“搭便车”问题。也就是说，那些可能从特定集体行动中受益的个人，并没有意愿亲自组织或加入一个为其服务的组织。相反，他们觉得有人会替他们做这件事。在这种情况下，政府官员很容易无视普通民众的意愿，并采取违背其利益的行动。指出这一问题的分析家在多元主义理论中加入了“偏见”一词，认为利益集团冲突的结果以及随之而来的公共政策倾向于企业、商业和专业协会的意愿，而不是普通美国人的意愿（Bartels，2008；Gilens，2012）。

Even though several contemporary analysts of interest group politics seem to accept pluralism as the struggle of groups that eventually results in a more or less majoritarian decision, other analysts point out that since collective action is dispersed among many individuals, decision making suffers from the “free rider” problem. That is, individuals who might benefit from a specific collective action do not have the will to either personally organize or join an organization that would work for it. Instead, they feel that someone else will do it for them. Public officials in such cases can easily feel free to ignore the wishes of the average person and act against his or her interest. The analysts who noted this problem add the word “biased” to the theory of pluralism, arguing that the results of interest group conflict and the public policies that follow it tilt toward the wishes of corporations and business and professional associations, and not to the average American (Bartels, 2008; Gilens, 2012).

冲突与共识

Conflict and Consensus

精英主义者和多元主义者对于社会中冲突或共识的重要性也持有截然相反的观点。诚然，每个社会都存在冲突和共识。此外，由于政治围绕着谁将掌权的问题展开，个人和群体之间的冲突在政治进程中不可避免。与此同时，如果至少在如何调解冲突方面——换句话说，在游戏规则方面——没有达成普遍共识，政治体系就无法继续存在。

Elitists and pluralists also display opposing views regarding the importance of either conflict or consensus in the society. Admittedly, both conflict and consensus exist in every society. In addition, because politics revolves around the question of who will have power, conflict among individuals and groups is unavoidable in the political process. At the same time, if there were not at least a general consensus on the way conflict is to be mediated—in other words, on the rules of the game—the political system could not continue to exist.

在美国，冲突还是共识，究竟孰轻孰重？多元主义者，正如人们所料，认为社会中存在一种基本共识，允许在其总体框架内存在一些冲突。例如，他们指出，所有政治冲突的参与者（例如，在任何四年期中谁将当选总统）都从根本上认同自由民主资本主义的原则，并认同自由企业、自助、竞争和仁慈贪婪的意识形态（霍夫施塔特，1954，vii）。

Which predominates in the United States, conflict or consensus? Pluralists, as one would guess, maintain that there is a basic consensus in the society that allows some conflict to exist within its overarching framework. For instance, they point out that all the participants in political conflict (such as who will be elected president in any given four-year period) are fundamentally in agreement with the principles of liberal democratic capitalism, sharing the ideology of free enterprise, self-help, competition, and beneficent greed (Hofstadter, 1954, vii).

图片 16.2抗议任何群体认为错误的立法或政治决定是美国宪法赋予的权利。这张照片中，“占领华尔街”抗议者正在抗议美国金融体系。

IMAGE 16.2 Protesting legislation or any political decision that is perceived as wrong by a group is a right ensured by the U.S. Constitution. In this photo, Occupy Wall Street protestors demonstrate against the US financial system.

另一方面，精英主义者认为，最终维系任何社会的，是力量。精英很少展现力量，尤其是在美国。相反，它被伪装成支持现状的意识形态。这种意识形态被操控的精英强加于大众，直到它成为一种表面上的——尽管并非真正的——共识。换句话说，大众——我们，人民——被精英洗脑，相信民主是最好的政治制度，我们所拥有的就是民主制度。实际上，这个制度对精英有利。

Elitists, on the other hand, believe that ultimately it is force that holds any society together. Force is seldom displayed by the elite, particularly in the United States. Instead, it is disguised as ideology supporting the status quo. The ideology is forced on the masses by a manipulative elite until it becomes an apparent—though not a real—consensus. In other words, the masses—we, the people—are brainwashed by the elite to believe that democracy is the best political system, and that what we have is a democratic system. In reality, the system works to the advantage of the elite.

现实的民主

A Realistic Democracy

那么，谁在美国掌权呢？一些人认为，现实情况介于统治精英和多元主义之间。事实上，一种融合了这两种理论的现实主义民主理论认为，当满足以下条件时，民主就会存在（Keller，1963，第273-274页；Dahl & Lindblom，1976，第37页；Wolin，1980，第9页）：

Who, then, wields power in the United States? Some maintain that the reality falls somewhere between the concept of the ruling elite and that of pluralism. In fact, a synthesis of the two theories, called realist democracy, holds that democracy exists when the following conditions are met (Keller, 1963, 273–274; Dahl & Lindblom, 1976, xxxvii; Wolin, 1980, ix):

1.精英之间的竞争让选民有了选择。

1. Competition among the elites allows the voters a choice.

2.新的社会群体可以获得精英地位。

2. New social groups can gain access to elite positions.

3. 精英阶层受益于不断变换的联盟，因此没有一个利益联盟能够占据主导地位。

3. The elites benefit from constantly shifting coalitions, so that no one alliance of interest becomes dominant.

4.精英们在基本的民主信仰和理想上呈现出统一的道德阵线（共识）。

4. The elites present a united moral front (consensus) on basic democratic beliefs and ideals.

多元主义者和精英主义者都认为，选民过于冷漠、信息匮乏且自私自利，无法参与民主所要求的那种制度。然而，即使那些行使权力的人可能构成统治精英，他们仍然对人民负责。精英，无论是政府专业人士还是私营经济部门的领导者，实际上都得到了人民的认可；因此，他们仍然对人民负责，因为他们需要人民为其投票或购买其产品。最终，人民不做决定，而是选择那些做决定的人。

Both pluralists and elitists agree that the electorate is too apathetic, ill informed, and self-interested to participate in the kind of system that democracy calls for. However, even though those who exercise power may constitute a ruling elite, they are still responsive to the people. The elite, whether they are government professionals or leaders in the private sector of the economy, is actually approved by the people; thus, it remains accountable to it because it needs the people to vote for it or buy its products. In the end, the people do not make the decisions, but they choose the individuals who do.

利益集团

Interest Groups

正如前几章充分说明的那样，人是群居动物。在所有社会中，人们出于各种原因而隶属于众多群体。当一个群体拥有独特的组织结构，以促进其成员的特定共同利益时，该群体就成为了利益群体。

As the preceding chapters amply illustrated, people are group creatures. In all societies, people belong to numerous groups, for numerous reasons. When a group acquires a distinct organizational structure to promote a particular shared interest of its members, such a group becomes an interest group.

众多利益集团的存在是美国政治体系的显著特征。利益集团（有时也称为压力集团或游说团体）是由持有相似态度和利益的个人组成的联盟，他们试图影响公共政策。公共政策是指政府所做或未能做的事情；更具体地说，它是政府为解决社会问题、应对威胁或追求目标而采取的行动计划。由于利益集团试图影响公共政策，它们与政党类似。然而，它们追求目标的方式与政党不同。利益集团没有正式代表其利益的候选人，也不以完全控制政府为目标。利益集团不会试图参与选举，也不会将其名字出现在选票上供人们投票。

The existence of a large number of interest groups is a distinctive feature of the American political system. Interest groups (sometimes called pressure groups or lobbies) are coalitions of individuals with similar attitudes and interests who attempt to influence public policy. Public policy is what government does or fails to do; more specifically, it is a plan of action that the government adopts to either solve a social problem, counter a threat, or pursue a goal. Because interest groups try to influence public policy, they resemble political parties. They differ from political parties, however, in the manner in which they pursue their goals. Interest groups do not have candidates who officially represent their interests, and they do not aim for complete control of government. Interest groups do not try to run in elections, nor do their names appear on ballots for people to vote on.

与世界上许多其他人相比，美国人更愿意加入——甚至组建——利益集团，以探讨某个议题或纠正某种显而易见的不公正。利益集团的大量涌现及其近年来的增长，归因于以下事实：美国人并非同质化，每个亚文化群体都会组建社团来推进自身事业或维护自身利益。此外，社会和经济的快速剧烈变革促使人们寻求工会、妇女运动、民权运动等形式的保护。当政府扩张并推出社会项目时，一些人受益，另一些人受损；政府项目的受益者和目标对象都会组织起来保护自己。最后，政党组织日益弱化，利益集团填补了空缺。

Americans, more than many other people in the world, are ready to join—or even form—an interest group to pursue an issue or redress a perceived injustice. The large number of interest groups and their growth in recent years are attributed to the fact that Americans are not a homogeneous people, and each subcultural group forms associations to further its cause or protect its interests. In addition, change in society and in the economy has been rapid and dramatic, causing people to seek protection in unionization, the women’s movement, the civil rights movement, and so on. When government expands and creates social programs, it benefits some individuals but hurts others; both the beneficiaries and the targets of government programs organize to protect themselves. Finally, political party organization has been progressively weakening, and interest groups have taken up the slack.

利益集团的功能

Functions of Interest Groups

宪法制定者们害怕他们所谓的“派系”以及我们所说的特殊利益集团。正因如此，他们设计了一种权力分散的政府体制，权力分散在州和联邦两级之间，而在联邦层面，权力又分散在行政、立法和司法部门之间。然而，利益集团在民主社会中已被证明发挥着积极作用。

The framers of the Constitution were afraid of what they called “factions” and what we call special interests. That is why they designed a government system in which power was fragmented between the state and federal levels and, on the federal level, among the executive, legislative, and judicial branches. However, interest groups have proved to have positive functions in a democratic society.

一方面，它们充当着民众与公共政策制定者之间的纽带，使政府能够识别出必须回应的意见。另一方面，它们充当着其成员与公职人员之间的沟通渠道。每个利益集团都是其所要推动议题的最知情人士；因此，在立法者就该议题进行立法辩论时，它们能够提供真正的帮助。

For one thing, they serve as links between the people and those who determine public policy, enabling the government to identify opinions to which it must respond. They act as channels of communication between their members and public officials. Each interest group is the best-informed source on the issue it is trying to further; therefore, it can be of genuine help to legislators when they are debating legislation on the subject.

另一方面，利益集团可以澄清观点，激发政治议题的讨论。利益集团会筛选、研究和辩论特定问题的各个方面，使问题变得更容易理解，从而更容易解决。在大众媒体的帮助下，讨论有助于教育公众。

For another, interest groups can clarify opinions and stimulate discussions of political issues. Interest groups sift, study, and debate various aspects of a particular issue so that the issue becomes understandable and consequently easier to resolve. Discussions, with the help of the mass media, help to educate the public.

利益集团对其他利益集团以及个别公职人员起到制约作用。如果一个利益集团的行为变得不合理或不当，另一个利益集团就会将此事公之于众。如果公职人员在履行职责时出现懈怠，他们的不负责任往往会被某个利益集团曝光。

Interest groups act as checks on other interest groups and on individual public officials. If the activities of one interest group become unreasonable or improper, another group brings this to public attention. If public officials become lax in the performance of their duties, their irresponsibility is frequently exposed by an interest group.

利益集团提供的代表权并非基于地理因素。它们能够通过凸显超越严格州或地区界限的问题和利益，补充官方代表权。当然，根据多元主义理论，利益集团是民主得以运作的关键。冲突得以解决，政策得以制定，正是利益集团之间竞争与妥协的结果。

Interest groups provide representation based on something other than geography. They can supplement official representation by bringing to the fore issues and interests that reach beyond strict state or district lines. And, of course, according to the theory of pluralism, interest groups are what make democracy work. Conflict is resolved and policy is made as a result of competition and compromises among interest groups.

利益集团的形成与发展

Formation and Growth of Interest Groups

多元主义者对利益集团抱有好感，他们认为，这类集团是由那些与某个议题或问题有某种关联的人为了回应它而组建的。事实上，在这种情况下，人们不会自动组织起来。利益集团的形成必须具备以下要素：意识、领导力以及克服所谓“搭便车”问题的能力。其中，领导力或许是最重要的。大多数美国人都意识到汽车尾气污染的危害，但很少有人愿意为此采取行动。大多数女性都意识到自己在薪酬方面受到了不平等待遇，但只有少数女性对雇主提起了法律诉讼。

Pluralists, who look with favor on interest groups, believe that such groups are formed in response to an issue or problem by those who are somehow touched by it. In reality, people do not automatically organize in such circumstances. The ingredients that must be present for an interest group to form are awareness, leadership, and the ability to overcome the so-called free-rider problem. Of these, leadership may be the most important. Most Americans are aware of the danger of pollution from automobile exhaust fumes, but few are willing to do anything about it. Most women are conscious of being treated unequally in terms of pay, but only a minority institute legal suits against employers.

政治学家罗伯特·索尔兹伯里 (Robert Salisbury) 认为，将对问题的认识转化为有组织的运动来应对或挑战该问题的关键在于领导者的素质 (Salisbury, 1969, 1-32)。索尔兹伯里认为，利益集团领导者的角色类似于商业领域的企业家，因为他们必须推广或推销组织理念。这样的领导者还必须懂得如何利用社会趋势和政治机遇，采取深思熟虑的行动，将模糊的不满转化为政治策略。大多数成功的利益集团还会制定继任程序，以确保集团不会在领导者退休后解散。

According to political scientist Robert Salisbury, the crucial factor in turning the awareness of an issue into an organized movement to confront or challenge it is the quality of leadership (Salisbury, 1969, 1–32). Salisbury maintains that an interest-group leader plays a role similar to that of an entrepreneur in the business arena in the sense that he or she must market or sell the idea of organizing. Such a leader must also know how to take advantage of social trends and political opportunities, taking deliberate action to translate vague grievances into political strategy. Most successful interest groups also develop procedures for succession so that the group does not collapse when the leader retires.

搭便车问题是指许多对某个议题感兴趣的潜在成员决定放弃成为会员所需的费用和精力。他们的想法是，如果利益集团成功，他们无论如何都能从中获益；如果失败，他们既没有浪费时间也没有损失金钱。这种逻辑对人们来说很有道理，尤其是在涉及大量人群的议题上，例如消费主义。这也是为什么招募女性、消费者或贫困人口加入一个足够强大、能够产生影响的组织如此困难的原因。为了解决这个问题，利益集团必须利用选择性福利，即只有会员才能享受的额外福利。因此，美国退休人员协会 (American Association of Retirement Persons) 提供更优惠的保险、旅行及相关费用、药品等服务。当然，有些团体，例如工会，可以强制会员加入，以便他们有资格获得工作。然而，在大多数情况下，强有力的激励措施无疑有利于会员加入。

The free-rider problem refers to the fact that many potential members interested in an issue decide to forgo the expense and effort of membership. Their thinking is that if the interest group succeeds, they will reap the benefits anyway, and if it fails, they will have lost neither time nor money. This logic makes much sense to people, particularly on issues that touch a large number of them, such as consumerism, and it is the reason why it is so difficult to recruit women, consumers, or poor people into organizations strong enough to have an impact. To overcome this problem, interest groups must make use of selective benefits, that is, perquisites available to members only. Thus, the American Association of Retired People offers cheaper rates on insurance policies, travel and related expenses, pharmaceuticals, and so on. Of course, some groups, such as unions, can force members to join so that they will be eligible to obtain a job. In most cases, however, strong incentives are definite pluses toward membership.

游说者

Lobbyists

说客是利益集团的主要工作对象，即代表该组织与政府交涉。他们负责确保该组织在政府眼中具有影响力，并确保其成员了解政府在相关议题上的活动。一些说客是该组织的全职员工，另一些则受聘于公关公司或律师事务所。各组织寻找的是具备政府运作经验和知识的人才，因此，真正在政府部门工作过的人是说客的首选。游说是一项利润丰厚的职业，因此，许多前国会议员仍然留在华盛顿继续从事游说工作。

Lobbyists are the people who do the main job for interest groups; that is, they represent the organization before the government. In this function, they make sure that the organization is visible in the government’s eyes and that, in turn, government activity on relevant issues is known to the group’s members. Some lobbyists work full time for an organization; others are retained from public relations or law firms. Organizations look for people who have experience in and knowledge about the workings of government, so people who have actually worked in government are prime choices for lobbyists. Lobbying is a lucrative profession; consequently, many former members of Congress remain in Washington to pursue it.

游说者如何影响立法者？一家会计师事务所就此提供了一个例子。该事务所聘请了一位前国会职员为其客户就税收问题进行游说。这些客户包括一些美国企业巨头，例如通用电气公司。通用电气公司希望政府允许他们保留一项利润丰厚的税收减免政策。这项税收减免政策将在十年内使政府（即美国人民）损失约18亿美元的联邦收入。这位前职员带领着一个由其他游说者组成的团队，多次与财政部高级官员会面，极力主张这项条款并非真正的漏洞，不会造成收入损失。这位前职员对税法非常了解，他在担任联合税务委员会高级助理期间撰写了大部分通过的税收法案，这也起到了一定作用。显然，他和他的团队之所以能够令人信服，是因为财政部决定不要求对这项特定立法进行任何修改（Abramson，1998，1-22，23）。

How do lobbyists influence lawmakers? One example is provided by the work of an accounting firm that hired a former congressional staffer to lobby on tax issues for its clients. These clients included some of the biggest names in corporate America, including the General Electric Company, which wanted the government to allow them to retain a lucrative tax break. The tax break would cost the government (that is, the people of the United States) approximately $1.8 billion in federal revenue over ten years. The former staffer, heading a team of other lobbyists, met many times with top Treasury officials, pushing hard with the argument that the provision was not really a loophole and would not result in a revenue loss. It also helped that the former staffer was very knowledgeable about tax law, having written much of the tax bill passed while he was the top aide at the Joint Tax Committee. Apparently, he and his team were convincing because the Treasury Department decided not to ask for any changes to this particular legislation (Abramson, 1998, 1–22, 23).

即使在最近的经济衰退期间，游说团体也继续以惊人的速度向国会议员施压。响应性政治中心（Center for Responsive Politics）在2014年报告称，游说费用增长至32.4亿美元，全美共有12278名游说团体（www.opensecrets.org/lobby/）。美国商会是一个代表商业利益进行游说的保守团体，2014年花费超过1.24亿美元；全国房地产经纪人协会花费超过5500万美元；谷歌花费超过1600万美元；制药和医疗行业花费超过2.3亿美元；石油和天然气行业花费超过1.41亿美元等等。这些数字实际上低于选举年的水平。这些支出的动机是什么？比如说，一家大型公司希望能够与另一家大公司合并，而合并需要国会批准。或者，医疗行业希望国会修改其医疗改革法案，以保护其利益。金融、保险和房地产行业担心国会提出的加强监管提案可能会影响其利润。因此，这些公司愿意向游说者支付巨额资金，以说服国会投票通过以下立法：对他们有利。在医改法案颁布之前，超过1750家公司和组织雇佣了约4525名说客。这意味着每位国会议员都要雇佣8名说客（Mehta & Israel，2010）！

Even during the latest recession, lobbyists continued to pressure members of Congress at an amazing rate. The Center for Responsive Politics reported in 2014 that lobbying expenses grew to $3.24 billion, and there were 12,278 lobbyists in the United States (www.opensecrets.org/lobby/). The U.S. Chamber of Commerce, a generally conservative group that lobbies for business interests, spent over $124 million in 2014; the National Association of Realtors spent more than $55 million; Google spent more than $16 million; the pharmaceutical and health industry spent upward of $230 million; the oil and gas industry spent more than $141 million; and so on. These figures were actually lower than they had been in an electoral year. And what are the motives for such spending? Well, say one mega company would like to be able to merge with another large company, a merger that requires congressional approval. Or the health industry wants Congress to shape its health-care reform legislation so that its interests are protected. The finance, insurance, and real estate industries fear congressional proposals for stronger regulation, which might affect their profits. Therefore, such companies are willing to pay tremendous amounts of money to lobbyists to convince Congress to vote for legislation that benefits them. Before the health-care reform legislation was enacted, more than 1,750 companies and organizations hired about 4,525 lobbyists. This meant eight lobbyists for each member of Congress (Mehta & Israel, 2010)!

由于这些活动，游说者声誉不佳。游说活动应该包括向负责政策制定的人员传递信息，并为组织的目标提供令人信服的理由。然而，现实中，许多游说者依靠与权力中心的私人关系来获取成果。一些身居高位的政府官员还以顾问的身份向私营企业收取费用，而这些企业从政府的具体行动中获益。这构成了令人质疑的道德规范。

As a result of such activities, lobbyists do not enjoy the best of reputations. Lobbying should involve passing on information to those who are responsible for policy making and making a compelling case for the goals of the organization. In reality, however, many lobbyists depend on personal ties to the centers of power to obtain results. A number of highly placed government officials also receive payments as consultants to private businesses that benefit from specific government actions. This constitutes dubious ethics.

最后，最高法院在“联合公民诉联邦选举委员会”案中的一项裁决，进一步加剧了关于游说和游说者合法性的争议。该裁决规定，企业和工会可以自由地花钱投放支持或反对政治候选人的广告。最高法院在作出这项裁决时参考了宪法中的言论自由修正案；然而，允许特殊利益集团无限制地投放负面广告，可能会使一些国会议员更加受制于这些特殊利益集团。最高法院最近的另一项裁决推翻了水门事件时期对竞选捐款的限制，这意味着在两年的选举周期内，富裕捐赠者向联邦候选人和政治委员会捐款的总金额现在没有限制。保守派法官——尤其是首席大法官约翰·G·罗伯茨和大法官塞缪尔·A·阿利托——认为这种限制侵犯了言论自由权。同时，缺乏限制也让富人得以自由地试图控制政府政策。

Finally, a Supreme Court ruling in Citizens United v. Federal Election Commission has added more fire to the controversy about the legitimacy of lobbying and lobbyists. This ruling states that corporations and unions are allowed to spend freely on ads supporting or opposing political candidates. The Supreme Court referred to the free speech amendment of the Constitution in making this ruling; however, allowing an unlimited amount of negative advertising from special-interest groups may make some members of Congress more beholden to these special interests. Yet another recent decision of the Supreme Court struck down a Watergate-era limit on campaign contributions, meaning that there is now no limit on the total amount of money that wealthy donors can contribute to federal candidates and political committees in a two-year election cycle. The conservative justices—particularly Chief Justice John G. Roberts and Justice Samuel A. Alito—feel that such limitations violate free-speech rights. At the same time, the lack of limitations frees wealthy individuals to attempt to control government policy.

政治行动委员会

Political Action Committees

政治行动委员会 (PAC) 的成立极大地促进了游说工作。这些 PAC 由企业、工会和其他利益集团创建，他们希望将部分资金投入政治竞选，以支持拥护其理念的候选人。PAC 可以从股东或成员处募集资金，并可以将这笔资金（每个联邦候选人每次竞选最高 5,000 美元；即初选 5,000 美元，大选 5,000 美元，独立竞选则可随意捐赠）捐赠给其选择的任何竞选活动，但所有支出均须向联邦选举委员会报告。请参阅：www.fec.gov/pages/brochures/contriblimits.shtml和www.opensecrets.org/overview/limits.php。

The job of lobbying has been greatly facilitated by the creation of political action committees (PACs). These PACs are created by corporations, unions, and other interest groups who want to channel some of their money into political campaigns to support candidates who espouse their ideas. A PAC can collect money from stockholders or members and can donate the money (at the rate of up to $5,000 per federal candidate, per campaign; that is, $5,000 in the primary and $5,000 in the general election campaign, and whatever it likes in an independent campaign) to any campaign it chooses, as long as all expenditures are reported to the Federal Election Commission. See: www.fec.gov/pages/brochures/contriblimits.shtml and www.opensecrets.org/overview/limits.php.

近年来，政治行动委员会（PAC）的数量激增，从1974年的608个增至4600多个。它们对国会竞选的捐款也呈指数级增长，每年高达数亿美元。候选人坚称，他们可以使用PAC的资金而不会损害自己的诚信；PAC则声称，他们购买的并非选票，而只是接触公职人员。然而，大多数PAC都倾向保守，由工商企业、行业协会等赞助。由于昂贵的媒体报道在很大程度上决定了选举的胜负，因此许多批评人士认为PAC的资金来源存在问题。详情请访问：www.opensecrets.org/pacs/superpacs.php和www.encyclopedia.com/topic/political_action_committee.aspx。

PACs have multiplied in recent years to more than 4,600, up from 608 in 1974. Their contributions to congressional campaigns have likewise increased exponentially to many hundreds of millions of dollars every year. Candidates maintain that they can use the money from PACs without compromising their integrity, and PACs claim that they are not buying votes but only access to officeholders. However, most PACs have a conservative orientation, being sponsored by business and industrial corporations, trade associations, and so on. Because expensive media coverage is what to a great degree wins elections, PAC money is considered suspect by many critics. Check out: www.opensecrets.org/pacs/superpacs.php and www.encyclopedia.com/topic/political_action_committee.aspx.

2010年出现了一种新型的政治行动委员会：超级政治行动委员会（Super PAC）。超级政治行动委员会“可以从企业、工会、协会和个人筹集无限量的资金，然后投入无限量的资金公开支持或反对政治候选人”（www.opensecrets.org/pacs/superpacs.php）。

A new kind of political action committee appeared in 2010: the Super PAC. Super PACs “may raise unlimited sums of money from corporations, unions, associations and individuals, then spend unlimited sums to overtly advocate for or against political candidates” (www.opensecrets.org/pacs/superpacs.php).

利益集团的明显缺陷

Obvious Shortcomings of Interest Groups

利益集团的积极功能，正如上文所述，必须结合其弊端来评判。利益集团只关注少数人的需求，而忽视了整个国家的利益。他们向公众提供的信息存在偏见，具体体现在：他们只表达自己对问题的立场——而问题总有另一面。此外，他们的影响力也不平等，因为他们的影响力取决于他们所拥有的资源，而资源本身也不平等。最后，利益集团可能对民主构成威胁，因为他们不受选民的控制。

The positive functions of interest groups, described earlier, must be judged against their shortcomings. Interest groups ignore the good of the whole nation because they focus on the needs of a minority. The information they provide to the public is biased in the sense that they tell only their side of the issue—and there is always another side. Then, too, their power to influence is unequal because their effectiveness depends on their resources, which are also unequal. Finally, interest groups may pose a threat to democracy because they are not subject to the control of the electorate.

20世纪50年代和60年代的多元主义学者似乎坚信利益集团能够提供一种均衡的代表性。然而，近年来，尽管利益集团的数量有所增加，但有些利益集团的代表性却比其他集团更好。

Pluralist scholars, writing in the 1950s and 1960s, seemed convinced that interest groups would offer a balanced kind of representation. Instead, in the more recent past, although there has been an increase in the number of interest groups, some interests have been better represented than others.

利益集团的激增也对政党制度产生了不利影响。正如我们将在下一节中看到的，政党往往会淡化议题，因为它们必须吸引广大选民。而利益集团则专注于少数议题。因此，它们能够吸引那些对某个议题充满热情的人，并会游说政府代表他们影响政策。这削弱了政党的效力。然而，政党是真正实现多数制民主的工具，因为它们能够聚集广泛的民众联盟，这些人通过表达自己的关切，可以带来大规模的社会和经济变革。政党也代表那些没有利益集团代表或没有得到充分代表的群体：它们能够从那些个人无力的人手中，获得集体力量，对抗那些个人或组织强大的人。

The proliferation of interest groups has also worked against the party system. Parties, as we shall see in the next section, often dilute issues because they must appeal to a broad segment of the electorate. Interest groups, on the other hand, focus intensely on a few issues. As a consequence, they are able to attract people who are passionate about one issue or another and will lobby the government to influence its policies on their behalf. This detracts from the effectiveness of the parties. Parties, however, are true instruments of majoritarian democracy because they can gather broad coalitions of people who, in making their concerns known, can effect large-scale social and economic change. Parties also represent those who are not represented by interest groups or are not well represented: they can generate collective power on the part of those who are individually powerless and against those who are individually or organizationally powerful.

尽管超过60%的美国人表示自己是某个组织的成员，但只有约40%的人积极参与以政治为重点的团体。加入政治俱乐部或选民联盟等政治行动团体的比例甚至更小。此外，积极参与其中的人往往是受教育程度较高的人群，这通常也意味着更富裕的群体。因此，最终，利益集团只代表少数人，而大多数人根本没有得到代表。

Although more than 60 percent of Americans say they are members of an organization, only about 40 percent are active in groups with a political focus. An even smaller percentage belong to political clubs or political action groups such as voters’ leagues. Moreover, those who are active tend to be the better-educated segment of the population, which usually also means the more affluent segment. So, in the end, only a minority is represented by interest groups, and a majority is not represented at all.

另一个批评是，与所有组织一样，利益集团也由一小撮领导人掌管集团事务，并做出所有重要决策。这种情况既存在于那些为维护自身利益而进行游说的团体，也存在于那些以公众名义运作的团体，例如“共同事业”组织或各种消费者保护组织。由于领导人通常比普通成员持有更为自由的观点，利益集团往往甚至不代表其成员。

Another criticism is that, as in all organizations, in interest groups, too, a small clique of leaders conducts the affairs of the group and makes all the important decisions. This situation is true both in groups that lobby to protect their own interests and in those that function in the name of the public, such as Common Cause or the various consumer protection organizations. Because the leaders generally have more liberal views than the rank and file, quite often interest groups do not even represent their own members.

利益集团只对自身负责，而不像民选官员那样，至少在选举期间要对公众负责。最后，尽管利益集团的多元化被认为是民主制度的健康效应，但并非所有人都认为它们的存在会带来良政。一些人坚持认为，利益集团的持续喧嚣会导致政府不作为，而一个不作为的政府无法规划或实现正义（Lowi，1979，xvi）。

Interest groups are not accountable to anyone but themselves, unlike elected officials, who are responsible to the public, at least at election time. Finally, although the multiplicity of interest groups is considered to be a healthy effect of the democratic system, not everyone agrees that their existence leads to good government. Some insist that their constant clamoring results in inaction, and an inactive government cannot plan or achieve justice (Lowi, 1979, xvi).

尽管利益集团存在诸多缺陷，但美国人似乎不太可能通过停止加入或支持此类集团而放弃言论自由的权利。利益集团将继续成为美国政治体系的一个重要特征。事实上，利益集团似乎已经掌握了竞选活动的所有技术手段，不仅依赖游说者，还依赖顾问、民意调查员、政治战略家、市场营销人员和学者来激发公众对其议题的兴趣（Mitchell，1998，A1，A14）。

Despite all the shortcomings of interest groups, it does not appear likely that Americans will abrogate their right to freedom of expression by ceasing to join or support such groups. Interest groups will continue to be an important characteristic of the American political system. In fact, it seems that interest groups have acquired all the technological trappings of campaigns, depending not only on lobbyists but also on consultants, pollsters, political strategists, marketers, and academics to energize the public on their issues (Mitchell, 1998, A1, A14).

政党

Political Parties

政党对于民主制度非常重要，因为它们通过选举机制成为公民和政府之间的主要纽带。它们还将社会群体联结成联盟，从而促成多数的产生。我们今天所知的政党大约在200年前在美国发展起来（民主党的历史可以追溯到1792年；共和党成立于1854年，尽管它更早以另一种形式存在）。它们代表着民主的第三个基础，另外两个基础是代议制和通过投票参与政府的权利。这第三个要素是组织起来以获取决策过程中的权力的权利。

Political parties are very important to a democratic system because they form the principal link between the citizenry and government through the mechanism of elections. They also link groups of people in society into coalitions, which makes the creation of majorities possible. Political parties as we know them today developed in the United States approximately 200 years ago (the Democratic Party dates back to 1792; the Republican Party was established in 1854, although it had existed in another form earlier). They represent the third base of democracy, the other two bases being a system of representation and the right to participate in the government by voting. This third element is the right to organize to gain access to power in the process of decision making.

宪法制定者并未为政党做出任何规定。他们认为，民选将赋予人民在政府事务上直接发言权，无需中介。然而，很快人们就发现，如果没有某种组织来团结，任何团体都无法有效运作。政党应运而生，旨在提供领导力，并为支持执政的人们和反对执政的人们代言。

The framers of the Constitution made no provision for political parties. They thought that popular elections would give the people a direct voice in matters of government without the need for intermediaries. It soon became apparent, however, that no group could operate effectively without some sort of organization to give it unity. Political parties came into being to offer leadership and to speak both for those who supported the government in power and for those who opposed it.

政党宗旨

Purpose of Political Parties

如果没有政党，现代民主将难以想象。这是因为威权政治所特有的一致同意及其导致的一党制往往是强加于人民的。因此，它与民主原则相悖。民主制度所需的唯一一致意见，是就民主制度本身的可取性问题达成的。在所有其他领域，民主理论家都认识到冲突不可避免，并建议通过建立临时联盟政府来调解此类冲突（Schattschneider，1942，1）。将特定联盟推上权力宝座的任务则留给了政党。

Modern democracy would be unthinkable without political parties. This is because the unanimity and consequent one-party system characteristic of authoritarian politics is often forced on the people. It is, therefore, repugnant to democratic principles. The only unanimity required by a democratic system is on the issue of the desirability of the democratic system itself. In all other areas, democratic theorists recognize that conflict is inevitable, and they propose to mediate such conflict through the institution of a government of temporary coalitions (Schattschneider, 1942, 1). The job of placing a particular coalition in power is left to political parties.

因此，政党的根本目的是控制政府并承担管理政府事务的责任——换句话说，通过合法手段夺取和行使政治权力。换句话说，政党的任务是赢得选举。这是以选民的名义进行的，政党只是泛泛地代表选民的利益。

The fundamental purpose of political parties, then, is to gain control of government and to take on the responsibility for conducting its affairs—in other words, to seize and exercise political power by legal means. Another way of putting this is that the job of political parties is to win elections. This is done in the name of the electorate, whose interests the parties loosely represent.

政党的职能

Functions of Political Parties

政党最重要的职能之一是确定和界定人民的理想和利益，并将其明确为议题和意识形态。这些议题随后被整理成政党纲领，提交给选民，选民要么赞成，要么反对。获得最多支持议题的政党将赢得选举；如今，该政党已成为执政的多数派，并试图将其纲领中的政策转化为政府的政策。

One of the most vital functions performed by political parties is determining and defining the ideals and interests of the people and clarifying them as issues and ideologies. These issues are then organized into a party platform and presented to the electorate, which either approves or disapproves of them. The party with the most approved issues wins the election; now that it is the governing majority, it attempts to carry out the policies of its platform by making them the policies of the government.

政党的第二个职能是提供政府运作所需的人才。这通过提名、选举和聘任公职人员来实现。遴选公职候选人并争取选民支持这些候选人已成为政党的日常工作。通过履行这一职能，政党使权力交接过程更加稳定。

A second function of political parties is to provide the personnel necessary to run the government. This is done by nominating, electing, and recruiting public officials. Selecting candidates for public office and rallying the support of voters behind these candidates becomes the everyday task of political parties. In fulfilling this function, political parties make the transfer of power a more stable process.

政党还会将候选人数量限制在那些有希望赢得选举的候选人范围内，从而构建选民的选择框架。在总统选举中，政党会举行党团会议，在初选中推介候选人，并组织全国代表大会，最终选出参选的候选人。过去获胜的政党会积累一定数量的忠实选民，从而确保其候选人拥有稳定的票仓。

Parties also structure the choices open to voters by limiting the number of candidates to those who can realistically hope to win. In presidential elections, parties hold caucuses, present candidates at primaries, and organize national conventions, at which the final candidates who will run for office are chosen. Parties that have won in the past acquire a certain following of loyal voters, guaranteeing their candidates a steady base of votes.

除了使问题具体化、通过妥协来调整特定群体的无数愿望、并在利益冲突时充当斡旋者之外，政党还发挥着教育功能。它们还承担着在政治事务中对个人进行社会化的任务。对一些人来说，政党变成了以此为参考点，对一系列令人困惑的候选人和问题做出判断。

Besides crystallizing issues, modifying through compromise the innumerable wishes of specific groups within the population, and acting as brokers when there are conflicts of interest, political parties also perform an educational function. They share the task of socializing the individual in political matters. For some individuals, the party becomes a point of reference from which to make judgments on a confusing array of candidates and issues.

美国政党通常被视为团结的力量，而非分裂的力量。由于美国只有两个主要政党，因此每个政党都必须涵盖广泛的利益。为了赢得最多选民的支持，各政党不能采取极端立场。因此，它们采取较为温和、中庸的立场，并能够将非常多元化的群体凝聚在一起。然而，在某些时期，选民内部存在着如此深刻的分歧，以至于一些政治运动的起源与普遍共识截然不同。我们现在似乎正处于这样的时期。共和党尤其感到自己在国会和其他机构中的主流政客群体与一群自称“茶党”、意识形态偏向共和党右翼的人之间左右为难。茶党并非一个政党，而是一个倡导小政府、减少国债、狭隘解读宪法，并反对同性恋婚姻、堕胎等一系列社会问题的运动。

American political parties are generally viewed as uniting forces rather than divisive ones. Because there are only two major parties, a broad spectrum of interests must be encompassed by each. To win the support of the largest number of voters, the parties cannot afford to embrace extremist positions. Consequently, they adopt rather moderate, middle-of-the-road positions and are able to draw together very heterogeneous groups. Nonetheless, at certain points in time, there is such a deep division within the electorate that political movements originate that differ fundamentally from the common mean. We appear to be in such a period now. The Republican Party in particular finds itself torn between a mainstream group of politicians in Congress and in other agencies, and a group of people who call themselves the Tea Party and whose ideology is to the right of the Republicans. The Tea Party is not a political party, but a movement that stands for small government, a reduction in the national debt, a narrow reading of the Constitution, and against a number of social issues, such as homosexual marriage, abortion, and so on.

美国政党制度的特点

Features of the American Party System

美国政党制度是两党制。这意味着对政府控制权的竞争仅发生在两个政党之间。尽管偶尔会出现第三方政党并提名自己的候选人，但它们从未对民主党和共和党构成威胁，尽管这种情况未来可能会发生变化。两党制与许多其他国家的制度形成鲜明对比，无论是民主国家还是非民主国家。事实上，在大多数其他国家，要么存在一个政党，要么存在多个政党。我们通过假设大多数美国人在国内政策的基本问题上意见一致来证明美国两党制的合理性。例如，我们几乎一致同意政教分离原则的有效性。因此，天主教或新教政党，或者穆斯林和基督教政党的存在都是没有必要的。在其他没有这种共识的国家，政党的多样性代表着信仰的多样性。

The American party system is a two-party system. This means that the competition for control of the government takes place between only two parties. Although third parties occasionally come into existence and nominate their own candidates, they have never posed a threat to the Democrats and the Republicans, though that may change in the future. The two-party system contrasts with the systems of many other nations, of both democratic and nondemocratic persuasion. In most other nations, in fact, either one party or a multitude of parties exist. We justify the two-party system in the United States by assuming that most Americans agree on essential matters of domestic policy. For instance, we agree almost unanimously on the validity of the principle of the separation of church and state. Consequently, there is no need for the existence of Catholic or Protestant parties or of Muslim and Christian parties. In other nations, where there is no such consensus, the multiplicity of parties represents the multiplicity of beliefs.

美国政党与其他民主国家的政党有以下不同：

American parties differ from parties in other democracies in the following respects:

1.它们是分散的、弱势的组织，而不是强大而集中的组织。

1. They are decentralized and weak organizations rather than strong and centralized ones.

2. 他们在问题上的立场可能比较模糊，而不是有明确的意识形态和纲领。两党在很多问题上的立场非常相似。

2. They are likely to have fuzzy positions on issues rather than clearly defined ideologies and programs. Many issue positions of the two parties are very similar.

3. 各个政党都得到各种社会群体的支持，而不是来自某个特定的、明确界定的群体。

3. Each party receives support from a variety of social groups rather than from a specific, clearly defined group.

4.最后，获胜的政党一旦当选并不一定就能控制整个政府（Prewitt、Verba & Salisbury，1987，58-63）。

4. Last, the winning party does not necessarily dominate the whole government once it is elected (Prewitt, Verba, & Salisbury, 1987, 58–63).

赢者通吃制。选举程序的机制有利于两党制。美国的国会和总统选举都遵循“赢者通吃”的原则。在特定选区或州赢得多数票的政党将赢得整个选区或州。这与比例代表制和多席位选区制形成对比，在比例代表制和多席位选区制中，席位按政党获得的选票比例分配。许多美国人提倡这种制度，认为它能更公平地为少数族裔提供代表权。习惯和传统的力量也有助于维持两党制。政党忠诚度往往在早期就得到培养，并代代相传。

The Winner-Take-All System. The mechanics of the electoral process favor the two-party system. Congressional and presidential elections in the United States operate on the “winner-take-all” principle. The party that wins the majority of votes in a given district or state carries the entire district or state. This is in contrast to a system of proportional representation and multimember districts in which seats are distributed in proportion to the number of votes a party receives. Such a system has been advocated by many people in the United States as a more equitable means of providing minorities with representation. The forces of habit and tradition also help maintain the two-party system. Party loyalty tends to be instilled early and transmitted from generation to generation.

美国政党的一个有趣特征，也是它区别于当代许多其他政党的一个特征，就是它们并非基于特定的教义或意识形态。政党领导人和成员也并非完全在任何原则上都难以达成一致。正如国会投票记录所示，每个政党内部对具体议题的意见分歧很大。国会议员投票时，并不一定按照本党的指令或意愿行事。最后，两党的纲领都措辞非常笼统，避免涉及可能引发冲突的问题——同样，这是为了尽可能多地吸引不同的利益群体。

An interesting characteristic of American parties, and one that distinguishes them from many other contemporary political parties, is the fact that they are not based on a particular doctrine or ideology. Nor are party leaders and members in complete agreement on any principles. Within each party there is a vast spectrum of opinion on specific issues—as the congressional voting record shows. Members of Congress do not necessarily vote as their party dictates or desires. Finally, programs of both parties are phrased in very general terms and avoid issues that might produce conflict—again, to appeal to as many diverse interests as possible.

政党组织。由于全国性选举职位只有两个，州级选举职位不到500个，大约95%的政党积极分子在地方党组织中工作。这些地方党组织组织性更强，在东北部、中西部和城市地区最为活跃，他们积极参与市长、市议员、州议会、县级职位等竞选活动。

Party Organization. Because only two elective offices are nationwide and fewer than 500 are statewide, around 95 percent of party activists labor in local party organizations. They are more highly organized and tend to be strongest in the Northeast and Midwest and in urban areas, where they are active in campaigns for mayor, city council, the state legislature, county offices, and so on.

下一级组织是州一级。在州一级，每个政党都由一个中央委员会领导，该委员会由地方党组织成员以及地方和州政府官员组成。主席是全职雇员，负责指导日常工作，但除非竞选活动迫在眉睫，否则成员不会定期开会。他们的活动包括民意调查、研究和竞选活动管理。

The next level of organization is the state level. At the state level, each party is headed by a central committee consisting of members of local party organizations, as well as by local and state officeholders. The chairperson, who is a full-time employee, directs day-to-day operations, but the members do not meet regularly except when a campaign is imminent. Then, their activities include polling, research, and campaign management.

在国家层面，两党的组织架构与州一级的组织架构非常相似，即设立一个国家委员会、一个国家党主席和一个支持团队。这些都是常设职位，但国家党既不能决定提名，也不能决定候选人的政策。其主要职能是协助总统和国会竞选。更重要的是，其职责是筹集和使用资金。

At the national level, the two parties are organized much like those at the state level, that is, there is a national committee, a national party chairperson, and a support staff. These are permanent positions, but the national party cannot decide nominations, nor can it determine candidates’ policy. Its chief function is to provide assistance in presidential and congressional campaigns. Even more to the point, its role is to raise and spend money.

第三党。每当一个第三党变得举足轻重时，其政纲就会被简单地纳入两大主要政党之一的政纲。1992年的总统大选就曾发生过类似的事情，当时德克萨斯州一位非常富有的商人罗斯·佩罗作为第三个独立政党的候选人参选。一般来说，当大部分选民对两大政党提名的候选人不满意时，第三党就会出现。第三党要么是为了推动某个特定的事业（例如禁酒），要么是为了维护政党政治框架之外的意识形态立场；要么是一些分裂运动，是主要政党的分支，其追随者认为他们无法从民主党或共和党那里获得公平的倾听；要么是源于一位有总统野心的受欢迎人士，他希望获得足够多的支持者，从而赢得选举，而无需获得任何主要政党的支持。第三党充当着民众不满情绪的安全阀，并向华盛顿传递信息，表明某些问题尚未得到解决。

Third Parties. Whenever a third party becomes significant, its platform is simply incorporated into the platform of one of the two chief parties. Something like this occurred in the presidential election of 1992, when Ross Perot, a very wealthy Texas businessman, ran as the candidate of a third, independent party. In general, third parties come into existence when a large proportion of the electorate is dissatisfied with the candidates proposed by the two major parties. Third parties appear either to promote a specific cause—prohibition of alcohol, for instance—or an ideological position outside the spectrum of party politics; or they are splinter movements, offshoots of a major party whose followers believe they cannot obtain a fair hearing from either Democrats or Republicans; or they originate as a result of a popular individual with presidential aspirations, who hopes to gain a sufficient number of supporters to win an election without the support of either major political party. Third parties serve as safety valves for popular discontent and to send a message to Washington that certain issues are not being addressed.

如前所述，目前的茶党运动成员坚称自己不受任何政党的代表。他们在意识形态上倾向于极右翼，比共和党更右，与民主党的立场也相距甚远。

As noted earlier, the present Tea Party movement members maintain that they are not being represented by either party. They tend to belong, ideologically, to the far right, farther right than the Republican Party and very distant from the Democratic Party.

解除结盟还是重新结盟？

Dealignment or Realignment?

美国历史的特点是连续出现一个政党或另一个政党占主导地位的时期。从一个政党体系到另一个政党体系的过渡被称为重新调整。共和党在大萧条时期一直占据主导地位，直到 1932 年大选（在此之前，它在 18 次选举中的 15 次中控制了国会两院，并在 9 次选举中的 7 次（1896 年至 1932 年）中控制了总统职位）。1932 年大选后，民主党占据了主导地位，同时政府角色的构想也发生了根本性变化（1932 年至 1972 年间，民主党赢得了 11 次总统选举中的 7 次，并且除了四年之外一直控制着参众两院）。从 1980 年开始，共和党重新获得了总统职位（但直到 1994 年才控制国会），但目前尚不清楚是否发生了重新调整。白人种族和南方白人在种族问题上脱离了民主党，新政联盟也在缓慢瓦解，但民主党议程并没有被共和党议程彻底取代。事实上，所谓的“道德多数”被认为在2000年促成了共和党总统的当选，而“9·11”事件进一步扩大了共和党的权力，共和党被认为对恐怖分子采取强硬态度，并且在国土防御方面更愿意参战。共和党在2006年之前一直控制着国会参众两院。伊拉克战争的惨淡结果——美军伤亡惨重且未有最终解决方案——以及政府内部的一系列丑闻，导致选民再次转向民主党。中期国会选举再次带来了新的格局调整。

American history is characterized by successive periods in which either one or the other of the parties dominates. The transition from one party system to another is termed a realignment. The Republican Party held sway until the election of 1932, in the midst of the Great Depression (until then, it had controlled both houses of Congress in 15 of 18 elections, and the presidency in seven of nine elections (1896–1932)). With the 1932 election, there occurred a realignment to Democratic dominance coupled with a fundamental change in how the role of government was conceived (between 1932 and 1972, the Democrats won seven of 11 presidential elections and controlled both houses for all but four years). Beginning with 1980, the Republicans regained the presidency (though not Congress until 1994), but it is unclear that a realignment took place. White ethnics and the white South defected from the Democratic Party on the issue of race, and the New Deal coalition has been slowly disintegrating, but there has been no definitive substitution of the Democratic agenda with a Republican one. In fact, the ascendance of the so-called moral majority is thought to have helped elect a Republican president in 2000, and the events of 9/11 extended further the power of the Republicans, who are perceived as being tough on terrorists and more ready to engage in war when it comes to homeland defense. The Republicans had a hold on both houses of Congress until 2006. The poor results of the war in Iraq, with a high number of American casualties and no definitive resolution, as well as a number of scandals touching the administration, caused the voters to turn to the Democrats again. The midterm congressional elections brought a new realignment once more.

自从民主党人巴拉克·奥巴马当选总统，成为美国首位黑人总统以来，共和党一直处于失势状态。失势的政党通常会经历一场身份危机，试图理解自身错在哪里，也就是为什么会失去权力。事实上，共和党内部一直在进行着这样的哲学辩论。一方面，意识形态纯粹主义者认为，共和党的复兴取决于维护保守的意识形态。这种意识形态包括：信奉小政府，拒绝妥协，允许经济在很大程度上不受监管并完全依赖自由市场，要求政府减税而不是增税，以及削减一系列社会服务以削减国家债务。共和党内部目前正在进行的辩论是：是成为一个和解的反对党，还是一个急躁、愤怒、为了重返权力而采取消极行动的政党。

The Republican Party had been out of power since the election of Barack Obama, a Democrat, and the first black to achieve the presidency. It is generally the case that the party out of power undergoes an identity crisis during which it attempts to try to understand where it has gone wrong, that is, why it has lost power. In fact, such a philosophical debate has been going on in the Republican Party. On the one hand, ideological purists maintain that a Republican revival depends on maintaining a conservative ideology. Such an ideology includes a belief in small government, a refusal to compromise, allowing the economy to remain largely unregulated and depend solely on the free market, demanding that the government cut taxes rather than increasing them, and that it cut a number of social services in an effort to slash the national debt. The debate going on in the Republican Party now is whether to be a conciliatory opposition party or an impatient, angry party, engaged in negativity to return to power.

最后，政治观察家们注意到，美国人似乎对政党整体的关注度有所下降（Wattenberg，1994）。由于围绕政党未来走向的不确定性，有人提出了“脱钩”（dealignment）一词（Flanigan & Zingale，1998，58-63）。简而言之，选民如今不再积极地支持某一政党，而是倾向于回避党派忠诚，选民在支持某一政党时摇摆不定。其结果是，分裂投票（即选民选择来自两个政党的候选人竞选不同职位）的现象日益增多。过去，大多数选民采用直选投票（即只选择来自一个政党的候选人）。

Finally, political observers have noted that Americans seem to care less for parties altogether (Wattenberg, 1994). As a result of the uncertainty surrounding the issue of what is going to happen to the parties, the term dealignment has been suggested (Flanigan & Zingale, 1998, 58–63). In short, rather than engaging in a realignment strongly favorable to one party, voters now tend to shy away from partisan loyalties, and the electorate wavers in its support for one party or the other. The result is the increased incidence of split-ticket voting, in which voters choose candidates from both parties for different offices. In the past, the majority of voters used straight-ticket voting, in which candidates from only one party were selected.

政党制度的衰落

The Party System in Decline

且不论重组与否，近年来美国政党制度饱受诟病。人们指责政党对少数群体缺乏回应，也不代表多数群体。批评人士认为，政党已不再发挥民众控制的基本机制作用：它们不仅未能制定选民期望的方案，而且缺乏将这些方案转化为立法行动的凝聚力，并且常常误读多数人的感受。此外，国会议员往往更倾向于响应其选区内的利益集团——那些能够帮助他们连任的利益集团——而非政党指令。维护这一传统的人认为，负责任的政府意味着民选官员应该能够独自决定某项立法的利弊。批评者则认为，负责任的政府意味着官员必须根据多数人的意愿投票，而不考虑个人因素。

Realignment or dealignment aside, the American party system has been subjected to criticism in recent years. The parties have been accused of being unresponsive to minorities and of not being representative of the majority. Critics say that the parties have stopped functioning as the basic mechanisms of popular control: not only have they failed to set up the programs desired by the electorate, but they also lack cohesion to turn these programs into legislative action, and they often misread the feelings of the majority. In addition, members of Congress tend to be more responsive to the interest groups within their districts—those that can help reelect them—than they are to party dictates. This tradition is defended by those who interpret responsible government as meaning that an elected official should be able to decide alone on the pros and cons of a particular piece of legislation. It is criticized by those who interpret responsible government as meaning that the official must vote according to the desires of the majority regardless of personal considerations.

政党衰落的部分原因源于美国社会的变化。随着融入主流社会的程度不断加深，昔日的少数族裔群体已基本瓦解。美国人的地域流动性远超以往，他们经常为了寻找更好的工作或机会而跨越全国。家庭不再是过去那种凝聚力的单位，因此传统的为特定政党投票的方式也不再像以前那么重要。政党与选民之间不再可能进行直接的个人接触，党派诉求也必须……通过缺乏人情味的大众媒体进行宣传，使其效果大打折扣。与此同时，尽管超过90%的美国人表示他们投票给个人而非政党，但共和党人和民主党人的总比例远远超过独立人士的比例，民主党人的比例超过共和党人，而且民主党人的比例有所下降，共和党人和独立人士的比例都有所上升。尽管如此，个人和组织仍然继续支持政党，尤其是在重要选举临近之际。

Some of the reasons for the decline of the parties are rooted in changes in American society. The former ethnic communities have been largely disbanded in the wake of greater assimilation into mainstream society. Americans are geographically far more mobile than before, often traveling across the country in search of better jobs or opportunities. The family is no longer the cohesive unit of the past, so traditional forms of voting for a particular party no longer count as much as before. Direct and personal contact between parties and the electorate is no longer possible, and partisan appeals have to be made through the impersonal mass media, which makes them much less effective. At the same time, even though over 90 percent of Americans say they vote for the person, not the party, the proportion of Republicans and Democrats combined exceeds by far the proportion of independents, the proportion of Democrats exceeds that of Republicans, and the proportion of Democrats has decreased in favor of both Republicans and independents. Still, people and organizations continue to support political parties, particularly when important elections are approaching.

美国政党改革能否为公民提供更多元化的选择，是当今政治学家们激烈争论的话题。一些人主张按意识形态划分政党，集中组织，强化纪律，形成统一阵线，使政党真正成为公众的工具。另一些人则维护现状，认为正是政党能够以其政纲涵盖广泛的利益，并在冲突中充当斡旋者，才使其更加持久，功能更加强大。彻底按意识形态划分政党，必然会导致多党制，加剧美国公众的两极分化。美国政治体制本身不利于政党改革，其特点包括联邦制、总统和国会分开选举以及政治地方主义的传统。

Whether a reform of American political parties would provide the citizens with more distinct choices is a subject of heated debate among political scientists today. Some favor dividing the parties along ideological lines, centralizing their organization, tightening their discipline to present a unified front, and rendering them a truer instrument of the public. Others defend the status quo, arguing that it is precisely the parties’ ability to encompass a broad range of interests with their platforms and to act as brokers in conflicting situations that has contributed to their durability and enhanced their functionality. A thorough realignment along ideological lines would definitely lead to a multiparty system and to greater polarization of the American public. The American political system itself works against party reform because of such characteristics as federalism, the separate elections of the president and Congress, and the tradition of political localism.

美国：红色和蓝色？

America: Red and Blue?

尽管过去各政党的意识形态并不特别多元化，但如今美国人的投票方式似乎表明，选民之间存在着一些分歧。例如，城市选民和农村选民之间存在着巨大的差距。在过去的几次选举中，大都市地区的选民绝大多数都支持民主党，而居住在内陆开阔地带的选民则支持共和党。在全国范围内，白人投票给共和党候选人的比例较高，但黑人投票给民主党候选人的比例却非常高。

Even though in the past the parties did not espouse particularly diverse ideologies, the way Americans vote now seems to indicate that some fault lines divide the electorate. For instance, there is a deep gap between urban and rural voters. In the past several elections, voters in metropolitan areas overwhelmingly voted the Democratic ticket, whereas those residing in the open spaces of the country’s interior voted the Republican ticket. Nationally, a higher percentage of whites, but only a very small percentage of blacks, voted for the Republican candidate, whereas a very high percentage of blacks voted for the Democratic candidate.

传统上，民主党一直是产业工人和低收入阶层的政党。已婚人士更倾向于投票给共和党，而单身人士则倾向于投票给民主党。高中未毕业的人通常投票给民主党，而大学毕业生则投票给共和党。认为堕胎应该合法化的人会投票给民主党，而认为堕胎应该非法的人会投票给共和党。拥有枪支的家庭会投票给共和党，而36%的反对枪支拥有权的人会投票给民主党。

Traditionally, the Democrats have been the party of industrial workers and those on the lower rungs of the income ladder. Married persons more often vote Republican, and single persons tend to vote Democratic. Those who did not finish high school usually vote Democratic, whereas college graduates vote Republican. Persons who believe abortion should be legal vote Democratic, and those who believe it should be illegal vote Republican. Households with guns vote Republican, and 36 percent of those who are against gun ownership vote Democratic.

最后，2000年大选已成为美国政坛的一个现象，“红蓝”分裂戏剧性地显现。美国被划分为红州和蓝州——红州投票支持共和党候选人，蓝州投票支持民主党候选人——这在许多美国政坛观察家看来，表明选民群体已经出现了人格分裂。美国似乎是一个五五分的国家，地理差异体现在文化、价值观和党派归属的差异上（红州包括南部、大平原地区和落基山脉西部的大部分地区，蓝州则包括几乎整个新英格兰地区、大西洋中部地区和西海岸地区）。这种分裂似乎一直延续到奥巴马第二届政府。

Finally, the 2000 election has become something of a phenomenon in American politics, with the “red–blue” divide making a dramatic appearance. The division of the country into red and blue states—the red states having voted for the Republican candidate and the blue for the Democratic candidate—indicates to many observers of the American political scene that the electorate has acquired a split personality. The United States appears to be a 50–50 nation, in which geography translates into differences in culture, values, and partisan allegiance (the red states include the South, the Great Plains, and most of the Rocky Mountain West, and the blue states include almost all of New England, the Mid-Atlantic area, and the West Coast.) This split seems to have continued into the second Obama administration.

这种红州和蓝州的划分显然过于简化，已成为一个屡见不鲜的陈词滥调。实际上，如果将2000年大选的所有因素都考虑在内，那么美国将会呈现出几种不同的紫色——红色和蓝色交叠。两党活动人士在许多问题上意见不一，但大多数选民倾向于中间派。尽管现任政府努力争取合作，但仍然严重缺乏合作。

This division into red and blue states is obviously an oversimplification that has become a much-repeated cliché. In reality, if all factors in the 2000 election were taken into account, the country would appear to be several shades of purple—with the red and blue overlapping. Activists in both parties disagree with one another on a number of issues, but most voters tend to be centrists. The current administration has suffered from a strong lack of cooperation despite attempts to achieve it.

竞选成本高昂

The High Cost of Campaigning

大家都一致认为，政治结构中一个需要改革的领域是竞选支出。美国的竞选周期很长，而意大利的竞选周期只有六周，英国的竞选周期只有三周。竞选活动极其昂贵，迫使候选人费尽心思筹集资金。这种从私人渠道筹集资金的体制，凸显了一个问题：金钱是否能买到政治影响力。竞选资金部分来自各级政党积极分子，他们花费大量时间和精力筹款，部分来自政府。

One area of political structure that all agree needs reform is campaign expenditures. The United States has long campaign periods compared with the six-week limit on campaigns in Italy or the three-week limit in England. Campaigning is extremely expensive, forcing candidates to work very hard at fund-raising. This system of raising money from private sources brings to the fore the question of whether money buys political influence. The funds for electoral campaigns are provided partly by party activists at all levels, who spend considerable time and energy raising money, and partly by the government.

筹集资金是一项艰巨的工作。竞选活动不仅花费巨大，而且成本还在不断增长：1980 年，参议院和众议院的竞选活动总共花费了约 2.5 亿美元。到 1990 年，这个数字上升到 4.24 亿美元，1998 年更是达到了 8 亿美元。2012 年总统大选花费了约 20 亿美元，而总统和国会竞选的总支出达到了约 60 亿美元。平均而言，赢得一个参议院席位需要花费 850 万美元（尽管明尼苏达州候选人诺姆·科尔曼花费了 2000 万美元）。这意味着参议院候选人必须为六年任期的每一天筹集 3881 美元！在加州的初选中，eBay 前首席执行官梅格·惠特曼据称在共和党州长竞选中花费了 7100 万美元自己的资金（而且她失败了！）。

Seeking funds is an arduous job. Not only are campaigns expensive, but also their cost keeps increasing: in 1980, around $250 million was spent on all Senate and House campaigns. This figure had increased to $424 million by 1990 and to $800 million in 1998. The 2012 presidential election cost around $2 billion, while total spending on the presidential and congressional races reached approximately $6 billion. On average, it costs $8.5 million to win a seat in the Senate (although Norm Coleman, a candidate from Minnesota, spent $20 million). This means that a Senate candidate has to raise $3,881 per day for every day of a six-year term! In a primary election in California, Meg Whitman, the former CEO of eBay, allegedly spent $71 million of her own money in the Republican run for governor (and she lost!).

从法律上讲，每个政党可以直接向众议院候选人捐赠1万美元，向参议院候选人捐赠1.75万美元。这被称为“硬钱”，个人捐款（个人每次选举最多可向每位候选人捐赠1000美元，但一年内向所有候选人捐赠的金额不得超过2.5万美元）和利益集团的捐款也被称为“硬钱”。

Legally, each party is allowed to give $10,000 directly to a House candidate and $17,500 to a Senate candidate. This is termed hard money, as are contributions from individuals (an individual can give up to $1,000 per election to each candidate and no more than $25,000 to all candidates in any one year) and interest groups.

政党还可以合法接受个人无限制捐款，只要这些捐款用于州和地方的政党活动（例如注册活动或广告活动）。这就是所谓的软钱。软钱是由于法律漏洞而产生的，一直是备受争议的对象。事实上，不管这些钱的用途是什么，政党很容易将其用于特定候选人的利益。2003 年，一项法案获得签署成为法律，禁止公司和工会向政党提供软钱捐款，同时将对候选人捐款的法定限额从 1,000 美元提高到 2,300 美元。这项立法的原因是担心公司和工会会利用其巨额财富影响选举结果。然而，最高法院在 2010 年裁定这项立法违宪，因为它否定了言论自由原则。许多评论人士担心，这项裁决将允许企业和工会支持有利于其议程的候选人，因为这些实体可以在广告上投入巨额资金。最高法院在2014年取消了个人向总统和国会候选人、政党以及一些政治行动团体捐款的上限。

Parties can also legally accept unlimited contributions from individuals as long as they are used in state and local campaigns for party activities—registration drives or advertising campaigns. This is referred to as soft money. Soft money is a result of a loophole in the law and has been the object of much controversy. Despite what the money is allocated for, in fact, it is easy for a party to use it to the benefit of a particular candidate. In 2003, a bill was signed into law that bans soft money contributions by corporations and labor unions to political parties, while raising the legal limit on donations to candidates from $1,000 to $2,300. The reason for this legislation was the fear that corporations and labor unions would use their vast fortunes to influence electoral outcomes. However, the Supreme Court ruled in 2010 that this legislation was unconstitutional because it negated the freedom of speech principle. Many commentators fear that this ruling will allow corporations and labor unions to support candidates favorable to their agenda because of the vast funds these entities can spend in advertising. The Supreme Court in 2014 has struck down the limit on contributions that individuals can make to presidential and congressional candidates, political parties, and some political action groups.

向个人募集资金非常困难，因为绝大多数人没有足够的收入来为竞选活动提供大量捐款。因此，候选人必须讨好少数有能力捐款的个人和商业机构。然而，一般来说，捐款并非完全没有成本。也就是说，候选人要受制于捐款人，这可能会导致滥用职权。

Raising funds from individuals is difficult because the great majority of people do not dispose of enough income to make significant contributions to electoral campaigns. Consequently, candidates have to curry favor with the minority of individuals and business organizations who do have the ability to contribute. Generally, however, contributions are not entirely without cost. That is, the candidate is beholden to the contributor, and that can lead to abuses.

为了防止这种明目张胆的逢迎行为，国会已于1974年和1976年通过新法，试图强化先前的立法。这项立法限制了联邦竞选活动的捐款和支出，要求联邦公职候选人披露其竞选活动的所有财务方面，并为总统竞选活动提供了公共资助系统。政府将为符合条件的总统候选人提供配套资金，条件是他们能够筹集5000美元，并表现出广泛的支持。在20个州，每个州都以小额捐款的形式进行竞选。该法律还规定了每位候选人接受公共资金前的支出上限，这导致政党组织的活动减少，而工会和政治行动委员会（PAC）等其他团体组织的活动增加。虽然公共资金可以帮助名不见经传的候选人通过购买媒体曝光度获得全国关注，但也有助于现任者保持不败：他们凭借其知名度而领先一步，但获得的资金却与挑战者相同。

To forestall such flagrant currying of favor, Congress had already tried to strengthen earlier legislation by passing new laws in 1974 and 1976. This legislation limits contributions and expenditures in federal campaigns, requires candidates for federal office to disclose all the financial aspects of their campaigns, and provides a public funding system for presidential campaigns. The government offers matching funds to presidential candidates who qualify by showing widespread support as reflected by their ability to raise $5,000 in small contributions in each of 20 states. The law also imposes a spending ceiling on each of the candidates before he or she can accept public funding, resulting in a cutback in activities organized by political parties and an increase in activities organized by other groups, including unions and PACs. Although public financing helps little-known candidates gain national attention by enabling them to purchase media exposure, it also helps incumbents remain undefeated: they have a head start because of their recognized names, and yet they receive the same amount of money as their challengers.

表 16.1 2013–2014 年缴费限额

TABLE 16.1 Contribution Limits 2013–2014

*这些缴款限额会随着奇数年的通货膨胀而增加。

*These contribution limits are increased for inflation in odd-numbered years.

¹通过政治委员会为候选人指定的捐款将计入该候选人的原始捐款限额。在某些情况下，该捐款也可能计入政治行动委员会 (PAC) 的捐款限额。《联邦法规》第 110.6 条。另请参阅《联邦法规》第 110.1(h) 条。

¹A contribution earmarked for a candidate through a political committee counts against the original contributor’s limit for that candidate. In certain circumstances, the contribution may also count against the contributor’s limit to the PAC. 11 CFR 110.6. See also 11 CFR 110.1(h).

²此限制由全国委员会和参议院竞选委员会共同承担。

²This limit is shared by the national committee and the Senate campaign committee.

³多候选人委员会是指拥有 50 多名捐助者的政治委员会，该委员会已注册至少 6 个月，并且（州政党委员会除外）已向五名或五名以上联邦公职候选人提供过捐助。11 CFR 100.5(e)(3)。

³A multicandidate committee is a political committee with more than 50 contributors which has been registered for at least 6 months and, with the exception of state party committees, has made contributions to five or more candidates for federal office. 11 CFR 100.5(e)(3).

⁴一位联邦候选人的授权委员会每次选举向另一位联邦候选人的授权委员会捐款不得超过 2,000 美元。2 美国法典第 432(e)(3)(B) 条。

⁴A federal candidate’s authorized committee(s) may contribute no more than $2,000 per election to another federal candidate’s authorized committee(s). 2 U.S.C. 432(e)(3)(B).

资料来源：联邦选举委员会http://fec.gov/pages/brochures/contriblimits.shtml#search=contribution%20limits

Source: Federal Election Commission http://fec.gov/pages/brochures/contriblimits.shtml#search=contribution%20limits

政治行动委员会（PAC）被允许为每位候选人每场竞选筹集资金并分配至少5000美元。个人和组织可以主动直接向候选人捐款；与其直接向候选人捐款，不如购买电台的广播时间来支持该候选人。显然，候选人的支持者越富有，他们能提供的支持就越多。危险在于，国会可能更关注竞选资金提供者的经济利益，而不是普通公民的利益。（有关竞选捐款的最新信息，请访问www.uspolitics.about.com和www.fec.gov/ans/answers-public-funding.shtml。）

PACs are allowed to raise money and allocate at least $5,000 per candidate per race. Individuals and organizations can contribute money to a candidate as long as they do it directly and by their own initiative; rather than donating money to the candidate, one can purchase air time on a radio station in support of the candidate. Obviously, the wealthier a candidate’s supporters, the more support they can offer. The danger is that Congress may be more responsive to the economic interests of those who fund election campaigns than to the interests of ordinary citizens. (For the latest on campaign contributions, see www.uspolitics.about.com and www.fec.gov/ans/answers-public-funding.shtml.)

表决

Voting

在理想的民主制度下，政治体系建立在一群知情且政治活跃的公民之上，他们对民主的基本价值观达成共识，但在政策问题上可能存在分歧。这些知情的公民会通过有序讨论相关问题，以宽容、理性的方式解决分歧。然而，现实情况却大相径庭。研究选民行为和美国舆论氛围的社会科学家发现，选民中存在一些令人失望的倾向。

In an ideal democracy, the political system is based on an informed, politically active body of citizens who agree on essential democratic values but may disagree on matters of policy. Differences are resolved by these well-informed citizens in a tolerant, rational manner through orderly discussions of the issues involved. Unfortunately, reality is quite different. Social scientists studying voter behavior and the climate of American public opinion have uncovered some disillusioning tendencies among the electorate.

首先，研究人员发现，部分民众对民主进程和自治权缺乏信心，这颇为愤世嫉俗。其次，民主原则和价值观在泛泛提及时能够引发广泛共识，但当这些原则应用于具体问题时，共识却被某种形式的冲突所取代。第三，与大多数民众相比，领导人、政治活跃人士和受过良好教育的少数群体对民主原则的认同度更高。最后，对政府及其回应民众需求的能力普遍持怀疑态度，这似乎已成为一种普遍现象。

First, the researchers found a rather cynical lack of faith in democratic processes and in the right to self-government on the part of some people. Second, democratic principles and values evoke a wide consensus when referred to in general terms, but when these principles are applied to specific issues, consensus is displaced by some form of conflict. Third, there is a greater commitment to democratic principles among the leaders, the politically active, and the well-educated minority than there is among the majority of the people. Finally, general cynicism about government and its ability to respond to the people’s needs seems to be endemic.

尽管选举权（即投票能力）被视为一项宝贵的权利，一些国家的公民仍在为之奋斗，但在美国，只有约50%的选民参加了总统选举（然而，在2008年的选举中，投票率达到64%，比2004年的选举增加了500万；2012年，近60%的选民再次选举了上届政府）。在非总统选举年，所有国会议员、三分之一的参议员和近一半的州长都将选出，投票率约为37%至39%。尽管志愿者和利益集团努力鼓励投票，但地方选举仅吸引了约10%的选民。在2008年的总统选举中，第一位非裔美国人成为候选人，约有1.31亿人参加了投票。投票人数增加的主要原因是非洲裔美国人增加了约 200 万，西班牙裔美国人增加了约 200 万，亚裔增加了约 60 万。

Although suffrage—the ability to vote—is considered a precious right for which citizens in some countries are still fighting, in the United States only about 50 percent of the electorate votes in presidential elections (in the 2008 election, however, 64 percent voted, an increase of 5 million from 2004; in 2012, close to 60 percent of the electorate re-elected the preceding administration). Nonpresidential elections during off years, when all congressional representatives, one-third of the Senators, and almost half of the governors are chosen, produce a turnout of about 37 to 39 percent of registered voters. And local elections draw only about 10 percent of the electorate, despite the efforts of volunteers and interest groups to encourage voting. In the 2008 presidential election in which the first African American was a candidate, about 131 million people reported voting. Much of the increase was due to the fact that about 2 million more African Americans, 2 million more Hispanics, and about 600,000 more Asians voted.

影响投票率的因素

Factors in Voter Turnout

投票是直接的政治参与渠道，导致民众控制政府及其领导人，为何结果却如此糟糕？答案涵盖了从实际问题到意识形态等诸多方面。在实际方面，投票存在诸多障碍。在大多数州，人们必须登记才能投票。其次，选举日并非全国性假日，人们必须在上班前或下班后前往投票站。许多人没有交通工具前往投票站。缺席选票可用于在选举日必须离开所在城市时投票，但这种选票不易获得和寄回。此外，如上所述，美国人需要在地方、州和联邦层面进行多次投票。最后，当候选人之间意识形态差异不大，或者选举结果已成定局，或者电视台在投票结束前根据出口民调公布预计获胜者时，许多选民会认为没有必要投票。

Why such a poor record when voting is a direct channel for political participation, leading to the popular control of government and its leaders? The answers span a range from the practical to the ideological. On the practical side, there are barriers to voting. In most states, a person must register before being allowed to vote. Then, Election Day is not a national holiday, so people must go before or after work. Many people have no transportation to the polls. Absentee ballots, which can be used when one has to be away from one’s city on Election Day, are available but are not easy to obtain and return. And, as noted, Americans have to vote many times—on local, state, and federal levels. Finally, when there is little ideological difference among candidates, or the outcome is a foregone conclusion, or the television networks announce a projected winner on the basis of exit polls before the polls close, many voters decide that it is unnecessary to cast their ballots.

图片 16.3美国政党的主要职能是赢得选举。赢得总统大选的政党将夺取政府控制权，并在总统任期内（在国会的协助下或缺席的情况下）管理政府事务。因此，每四年，各政党都会疯狂地提名候选人，并开展竞选活动，力求使他们当选。

IMAGE 16.3 The chief function of political parties in the United States is to win elections. The party that wins the presidency seizes control of the government and conducts its affairs for as long as the president remains in office (with the help, or lack of it, of Congress). Every four years, therefore, political parties engage in a frenzy of nominating candidates and campaigning to get them elected.

更重要的是，不投票的原因并非出于这些实际考虑。这些原因包括冷漠、政治疏离或缺乏政治效能。所有这些原因都可以用不投票者经常说的一句话来概括：“投票也没什么区别。”

Far more important are the reasons for not voting that are not the result of such practical considerations. Among these reasons are apathy, political alienation, or lack of political efficacy. All these reasons may be summarized in the statement one hears frequently from people who do not vote: “It wouldn’t make any difference.”

冷漠的选民认为，两党在议题上几乎没有什么分歧，以至于民主党或共和党候选人获胜其实无关紧要。政治疏离者认为，传统的政治参与毫无意义。个人的任何举动都无法改变政治事件的进程。然而，妇女选民联盟的一项调查显示，疏离感和愤世嫉俗并非不投票的决定性因素。相反，不投票者似乎不太可能理解选举对他们重要议题的影响，他们认为自己缺乏足够的信息，认为投票过程很困难，而且往往不愿与鼓励人们投票的组织联系。

Apathetic voters feel that there is so little difference on the issues between the two parties that it really is a matter of indifference whether a Democratic or a Republican candidate wins. The feeling among the politically alienated is that conventional political participation is meaningless. Nothing the individual does will alter the course of political events. However, in a survey by the League of Women Voters, the findings indicated that alienation and cynicism were not the deciding factors in nonvoting. Rather, nonvoters seem to be less likely to grasp the impact of elections on issues of importance to them, they think that they lack enough information, they perceive the process of voting as difficult, and they tend not to be contacted by the organizations that encourage people to vote.

不投票者

The Nonvoters

统计数据显示，美国不投票者较为年轻，社会经济地位低于其他人群。投票可能性最低的人群是年龄在 18 岁和 29 岁之间，并且不在上大学。他们往往不了解政治和时事。另一方面，65 岁以上的人投票的可能性是其他人的三倍。据一些权威人士称，该年龄组投票率低的原因之一可能是投票年龄降至 18 岁。年轻人比老年人更频繁地搬家，他们与政党的联系较弱，因为建立这种联系需要时间。然而，在 2008 年的选举中，年轻选民的投票率创下了历史新高：有 2160 万至 2390 万人投票，比 2004 年增加了 220 万人（尽管如此，18 至 24 岁年龄组中仍有大约一半的人没有投票）。

Statistics show that the nonvoters in the United States are young and are of lower socioeconomic status than the rest of the population. Those least likely to vote are between the ages of 18 and 29 and are not in college. They do not tend to be informed about politics and current events. Persons over 65, on the other hand, are three times as likely to vote. According to some authorities, one reason for a low turnout for that age group may have been the lowering of the voting age to 18. Young people move around more frequently than older people, and they have weaker ties to a political party because it takes time to forge such ties. However, in the 2008 election young voters turned out in record numbers: between 21.6 and 23.9 million voted, a gain of 2.2 million over 2004 (still, approximately half in the age group 18 to 24 years did not vote).

统计数据也清楚地表明了不投票与社会经济地位低下之间的关系：收入越低的人，投票的可能性就越小。选民中经济地位最低的群体在总统选举中投票的可能性比经济地位最高的群体低约三分之一（Verba、Schlozman & Brady，1995）。他们在初选和非总统选举中投票的频率甚至更低。在失业者中，只有三分之一的人会去投票。另一方面，一个人的受教育程度越高，他投票的可能性就越大。事实上，一些政治学家将统计数据解读为，在所有社会和经济变量中，教育是解释大多数类型政治参与的最有力的单一因素。由于教育与职业相关，而职业与收入相关，因此，一个人的收入越高，他投票或以其他方式参与政治进程的可能性就越大。收入凌驾于种族和族裔因素之上，这一点可以从以下事实得到证明：尽管黑人的投票率低于白人，但当比较同一收入群体中黑人和白人的投票率时，这种差异就消失了。此外，近年来黑人投票率有所上升，这可能也是由于部分黑人群体收入增加和教育水平提高所致。这种情况在2008年尤为明显，当时第一位非裔美国候选人正在竞选总统（表16.2）。

Statistics also clearly show the relation of failure to vote and low socioeconomic status: the lower a person’s income, the less likely that person is to vote. The lowest economic segment of the electorate is about one-third less likely to vote in presidential elections than the top segment (Verba, Schlozman, & Brady, 1995). They vote even less frequently in primaries and nonpresidential elections. Of the unemployed, only one-third bothers to vote. On the other hand, the higher a person’s education, the more likely that person is to vote. In fact, some political scientists interpret statistics as showing that of all social and economic variables, education is the strongest single factor in explaining most types of political participation. Because education is correlated to occupation and the latter to income, it also follows that the higher a person’s income, the more probable it is that person votes and participates in other ways in the political process. That income overrides the effects of race and ethnicity is demonstrated by the fact that although a lower percentage of blacks than whites votes, the difference disappears when one compares voting by black and white people in the same income group. In addition, more blacks have been voting in recent years, probably also a result of increased income—and higher levels of education—among segments of the black population. This was particularly true in 2008, when the first African-American candidate was running for the presidency (Table 16.2).

美国投票的特点：选举团制度

Peculiarities of American Voting: The Electoral College

美国人需要多次投票，竞选各种职位，涉及各个层级：学校董事会、县级官员、州议员、法官等等。然而，他们被要求投出的最重要的一票，是每四年一次的总统选举。

Americans are called on to vote many times, for many offices, at many levels: for school boards, county officials, state legislators, judges, and so on. However, the most important vote they are asked to contribute occurs every four years, when the president is elected.

选举总统并不像表面看起来那么简单。事实上，美国总统的产生并非基于普选票数，即根据有多少人投票给某个候选人。总统是由选举人团选举产生的。每个州的选举人票分配基于该州在国会的参议员和众议员人数。众所周知，每个州有两名参议员代表，众议员人数则根据该州的人口数量而有所不同；因此，任何州的选举人票都不会少于三张。赢得该州多数普选票的候选人将获得该州的全部选举人票：简而言之，这是一个赢者通吃的选举制。然而，缅因州和内布拉斯加州的选举人票分配方式是：他们各自将两票投给该州的获胜者，其余的选举人票则根据每个国会选区的获胜者进行分配。

Voting for the president is not as clear-cut as it would appear. In fact, the American president is not elected on the basis of the popular vote, that is, according to how many people vote for a certain candidate. The president is elected by the Electoral College. Each state is assigned electoral votes based on the number of senators and representatives that state has in Congress. As we know, each state is represented by two senators, and the number of representatives varies according to the population of the state; thus, no state has fewer than three electoral votes. The candidate who wins a majority of popular votes in a state gets all of that state’s electoral votes: in short, it is a winner-take-all system. Maine and Nebraska, however, split their electoral votes; they each give two votes to the winner of the state and allocate the rest of the electoral votes according to who won each congressional district.

最初，选举人团制度的设立是因为开国元勋们担心未受过教育的公民很容易被操纵和诱导，从而投票给错误的人。选举人团只需开会一次，因此不会受到过度劝说。然而，选举人团制度主要是制宪会议上为满足小州的要求而做出的妥协的一部分。多年来，这种妥协带来了不公平的后果。例如，在2000年的选举中，怀俄明州投出了约21万张普选票。由于该州在国会只有三名代表，因此每位选举人代表7万张选票。加利福尼亚州投出了约970万张选票，在国会有54名代表。该州每位选举人代表17.9万张选票。

Initially, the reason for the Electoral College system was that the Founders feared that an uneducated citizenry could be easily manipulated and convinced to vote for the wrong individual. The Electoral College needs to meet only once, and so is not subject to undue persuasion. Mainly, however, the Electoral College was part of a compromise made at the Constitutional Convention to satisfy the small states. This compromise has had unfair results over the years. For instance, in the 2000 election, the State of Wyoming cast about 210,000 popular votes. Because it has only three representatives in Congress, each elector represented 70,000 votes. California cast approximately 9,700,000 votes and has 54 representatives in Congress. Each elector there represented 179,000 votes.

尽管存在这种差异，但大多数情况下，获得多数普选票的候选人也会获得多数选举人票。截至2000年，只有两位候选人在普选票落选后最终赢得总统大选：1876年的拉瑟福德·B·海斯和1888年的本杰明·哈里森。2000年，乔治·W·布什也遭遇了同样的命运。

Despite this discrepancy, most of the time the candidate who receives a majority of the popular vote also gets the majority of the electoral vote. Up to the year 2000, only two candidates had won the presidency after losing the popular vote: Rutherford B. Hayes in 1876 and Benjamin Harrison in 1888. In 2000, the same thing happened to George W. Bush.

表 16.2 按选定特征划分的不投票原因：2014 年 11 月（千人）

TABLE 16.2 Reasons for Not Voting, By Selected Characteristics: November 2014 (in thousands)

资料来源：美国人口普查局，当前人口调查，2014 年 11 月。

Source: U.S. Census Bureau, Current Population Survey, November 2014.

初选。美国总统选举制度的另一个特点是初选。初选在竞选活动的早期阶段在许多州举行。其功能是选出最受欢迎的候选人，以便该候选人在各党派的全国代表大会上有更大的机会被提名为该党派的代表，参加总统竞选。爱荷华州和新罕布什尔州的法律规定，初选应在其他州之前举行。然而，最近其他州也决定提前举行初选，这种情况在地方政党和全国政党之间引起了争议和争论。初选在竞选活动的早期举行，而真正的总统选举是在深秋举行的。

Primaries. Another peculiarity of the American system in presidential elections is the primaries. Primaries are held in a number of states in the early stages of campaigning. Their function is to choose the most popular candidate, who will then have a greater opportunity at each party’s national convention to be nominated as its representative in the race for the presidency. State laws in Iowa and New Hampshire have dictated that primaries take place there before any other state. Of late, however, other states have decided to hold primaries early as well, a situation that has caused controversy and arguments between the local and the national parties. The primaries are held early in the campaign, whereas the actual presidential election is held in late fall.

政治观点的形成

Political Opinion Making

投票是基于政治观点的行为。投票和表达观点均受宪法第一修正案的保障。投票、加入政党、加入利益集团以及竞选公职都是积极参与政治进程的方式。然而，在进行这些活动之前，必须先形成一些政治观点。社会化，即人们学习如何作为人以及作为特定社会成员行事的过程，也决定着一个人的政治行为。人们会根据特定的环境和互动习得态度和兴趣，并形成观点。态度是后天习得但本质上未表达出来的倾向或倾向。它们可能引导一个人以特定的方式回应某些问题。例如，由于某些背景因素，一个人可能支持工会。这样的人可能会加入工会并积极参与其中，或者可能会投票支持有利于工会的立法。这种态度使个人倾向于特定的政治框架。

Voting is acting on a political opinion. Both voting and expressing an opinion are guaranteed by the First Amendment to the Constitution. Voting, joining political parties, belonging to interest groups, and running for office are active ways of participating in the political process. Before such activities can be pursued, however, some political opinions must be formed. Socialization, the process through which people learn how to behave as humans and as members of a particular society, is also responsible for a person’s political behavior. People acquire attitudes and interests and form opinions on the basis of specific circumstances and interactions. Attitudes are tendencies or predispositions that are acquired but that remain essentially unexpressed. They may lead a person to respond in particular ways to certain issues. For instance, because of something in one’s background, a person may favor labor unions. Such a person would probably join and be active in a labor union or might vote for legislation favoring labor unions. The attitude predisposes that individual toward a specific political frame of reference.

基于态度的行动会产生政治影响。持有特定态度的人通常会关心当选总统的是民主党人还是共和党人，因此会据此投票，因为他们相信某位候选人更符合自己的利益。用态度和兴趣来表达偏好，表明个人已经形成了某种观点。然而，观点比态度更容易改变，尤其是在某个观点并不坚定、存在反对群体、或者证据唾手可得的情况下。

Actions based on attitudes have political ramifications. A person with a specific set of attitudes will generally care whether a Democrat or a Republican is elected president and, therefore, will vote accordingly, believing that one candidate will serve his or her interests better. Expressing preferences in terms of attitudes and interests signifies that the individual has formed an opinion. Opinions, however, are easier to change than attitudes, especially if an opinion is not held strongly, if there are groups exerting contrary influences, or if evidence contradicting the opinion is readily available.

公众和政治观点

Public and Political Opinion

公众舆论和政治舆论这两个术语经常互换使用，但应该加以区分。公众舆论是指社区成员就任何涉及该社区的一般性问题所表达的意见的总和。政治舆论是指人们就政治问题所表达的意见的总和。虽然这两个术语都以单数形式使用，但我们应该意识到，公众舆论和政治舆论的数量与任何问题的立场数量一样多。诸如“公众舆论谴责这一行为”之类的表述只是泛泛而谈。它们最多只能表达大多数人的意见。

The terms public opinion and political opinion are often interchanged, but they should be differentiated. Public opinion is the totality of opinions expressed by members of a community on any general issue that touches the community. Political opinion is the totality of opinions expressed by people on political issues alone. Although both terms are used in the singular, we should be aware that there are as many public and political opinions as there are sides to any issue. Such statements as “public opinion condemns this act” are simply generalities. At best, they express the opinion of a majority.

大众媒体在舆论形成中扮演着重要的角色。据报道，工业化国家的儿童将互联网和众多新兴社交媒体作为主要的信息来源。在工业化程度较低的国家，父母仍然扮演着这一角色。尽管互联网已经普及且无处不在，但大多数美国人仍然通过互联网获取大部分信息。人们最喜欢在电视上获取新闻，尤其是国家和地方电视台。互联网在新闻提供方面位居第三，超过国家和地方报纸。印刷媒体正面临着与大多数人格格不入的危险：事实上，根据皮尤研究中心的《2014 年新闻媒体状况》（皮尤研究中心，2014 年），美国人越来越多地使用 Facebook 和 Twitter 来获取新闻更新。使用社交媒体获取新闻的人的比例包括：73% 获取娱乐新闻；65% 获取社区活动；57% 获取体育新闻；55% 获取政治新闻。只有 17% 阅读全国性报纸的印刷版，50% 阅读地方报纸。皮尤研究中心在其最新调查中发现，六成美国人通常每天从多种来源获取新闻。互联网是第三大最受欢迎的新闻平台，但即使在那里，人们也会使用两到五个来源，而且随着智能手机的普及，他们通过智能手机获取新闻。

The mass media play an important role in opinion formation. It has been reported that children in industrial nations cite the Internet and the many new social media as their primary source of information. In less-industrial nations, parents retain that role. Despite the popularity and ubiquity of the Internet, most Americans still obtain most of their news on television, especially on national and local television stations. The Internet is third in providing news, ahead of national and local newspapers. It is the print media that is in danger of becoming irrelevant to the majority: in fact, according to the Pew Research’s “State of the News Media 2014” (Pew Research Center, 2014) Americans are increasingly turning to Facebook and Twitter for updates on news. The percentage of people who turn to the social media for news include: 73 percent for entertainment news; 65 percent for community events; 57 percent for sports; and 55 percent for politics. Only 17 percent read print versions of national papers, and 50 percent read local papers. In their latest survey, the Pew Research Organization discovered that six in ten Americans get their news from a combination of sources on a typical day. The Internet is the third-most-popular news platform, but even there people use between two to five sources, and with the popularity of the smartphone, they obtain news through it.

过度依赖大众媒体的危险在于，在信息传播过程中，解读变得不可或缺。新闻由第三方转达给公众，而第三方通常并未亲眼目睹事件发生。尽管记者的意图可能是客观的，但实际上，一些偏见总是潜伏其中。首先，出于必要，只有经过筛选的事件才会被公众关注。选择报道哪些事件是由遵循特定准则的个人负责——例如，报道那些最有趣或最具人文关怀的事件。这本身就确保了客观性并非完全客观。它为宣传、选择性的侧重点和偏见敞开了大门。

The danger of overreliance on the mass media is that in the process of communicating information, interpretation becomes necessary. The news is relayed to the public by a third party, who usually has not witnessed the event firsthand. Although the intent of reporters may be objectivity, in reality, some bias always creeps in. For one thing, of necessity, only selected events are brought to the public’s attention. Choosing which events to report is the function of individuals who use certain guidelines—report the events that are most interesting, for instance, or that have human appeal. This in itself ensures that objectivity is not total. It leaves the door open to propaganda and to selected emphases and biases.

媒体与政客之间既存在共生关系，又存在对抗关系。共生关系是指双方互相利用，互利互惠。政客需要媒体，既要向公众传达他们的信息，又要了解这些信息的接受程度。媒体需要政客，因为他们是信息的提供者，需要持续的新闻来源。对抗关系则意味着他们彼此冲突。这种关系源于对媒体角色的根本看法差异。政客通常期望媒体充当一个渠道，将他们的计划原原本本传达给公众。如果媒体扮演这种角色，它就仅仅是政客观点的代言人。在极权国家，媒体确实扮演着这样的角色，但在美国，媒体却声称自己是客观的。

The media and politicians enjoy both a symbiotic and an adversarial relationship. A symbiotic relationship is one in which the parties use each other to their mutual advantage. Politicians need the media both to get their messages across to the public and to see how those messages are being accepted. And the media need politicians because they are the purveyors of information and need a constant source of news. An adversarial relationship means that they are in conflict with each other. This kind of relationship stems from basic differences of perspective regarding the role of the media. Politicians generally expect the media to act as a channel through which their plans are passed on to the public exactly as they express them. In this role, the media would be merely a mouthpiece for the politicians’ point of view. This is the role that the media do assume in totalitarian states, but in the United States, the media purport to be objective.

媒体也并非完全没有偏见，尽管它们并不像某些人认为的那样有偏见。记者大多受过大学教育，属于中上阶层。因此，他们并不能代表大多数人。他们也大多将自己视为世俗主义者、自由主义者，并倾向于民主党或独立人士的观点。尽管如此，他们并非铁板一块，他们的个人倾向通常不会影响他们的报道。大多数美国媒体都是以盈利为目的的私营企业。因此，他们试图吸引尽可能广泛的受众——受众越多，利润就越高。为了吸引最广泛的受众，他们必须满足公众的需求，而公众似乎想要的是娱乐。娱乐新闻是有偏见的新闻，因为它强调戏剧性、人文关怀、冲突以及具有视觉吸引力的事件。但因为我们是一个资本主义的、异质的社会，对于那些需要教育信息的人来说，公共广播和公共电视以及专业报纸和杂志提供了信息。

The media are not entirely free of bias either, although they are not as biased as some people think. Journalists are disproportionately college-educated, upper-middle-class individuals. In this, they are not representative of the majority of the population. They also disproportionately identify themselves as secular, liberal, and leaning toward the views of Democrats or independents. Still, they are not a monolithic group, and their personal leanings do not generally color what they report. Most American media are private businesses established for the purpose of making a profit. Therefore, they attempt to attract as wide an audience as possible—the larger the audience, the higher the profits. To attract the widest audience, in turn, they must give the public what it wants, and what the public wants, it seems, is entertainment. News-as-entertainment is biased news because it emphasizes drama, human interest, conflict, and events with visual interest. But because we are a capitalist, heterogeneous society, for those who want information as education, public radio and public television, as well as specialized newspapers and magazines, provide it.

原声片段

Sound Bites

尤其是在总统选举年，候选人会竭尽全力争取上新闻节目。因此，他们和他们的演讲稿撰写人会努力写出简短而引人注目的声明，以便以“每张图片几秒钟”的方式进行报道。电视新闻就是如此呈现的。这些片段后来被称为“竞选新闻片段”，并因此受到严厉批评，因为它们往往歪曲事实而不是提供信息。当然，在几秒钟内做出具体而实质性的陈述是可能的，但大多数竞选新闻片段似乎都做不到这一点。另一方面，许多候选人不擅长公众演讲，而另一些人则喜欢听到自己的声音，这会让观众感到极其无聊。竞选新闻片段之所以发展，是因为电视和广播是只有保持公众兴趣才能生存的媒体。然而，在像政治领导人选举这样对民众如此重要的事情上，公众理应得到更多关注，而不仅仅是一时的参与。

Particularly during presidential election years, candidates try very hard to get on news programs. Consequently, they and their speechwriters attempt to come up with short and catchy statements that lend themselves to the seconds-per-image manner in which television news is presented. These snippets have come to be called “sound bites” and have come in for heavy criticism because they often distort rather than inform. Of course, it is possible to make concrete and substantial statements in a few seconds, but most campaign sound bites do not appear to do so. On the other hand, many candidates are not good public speakers, and others love the sound of their own voices, to the utter boredom of their audiences. The sound bite evolved because television and radio are media that survive only when they keep the public’s interest. However, in something as important to the people as the election of political leaders, the public deserves more than being engaged momentarily.

根据民主意识形态，个人参与政府决策。由于不可能实现全民参与，治理职能已被相互竞争的利益集团或精英阶层所取代，这取决于人们接受哪种理论。多元主义者认为权力分散在众多利益集团之间。精英主义者则认为，政府最重要的决策是由少数人做出的。实际上，政治权力可能介于这两个极端之间。

According to the democratic ideology, individuals participate in the decisions of government. Because total participation is impossible, the function of governing has been taken over by competing interest groups, or by an elite, depending on which theory one accepts. Pluralists maintain that power is diffused among many interest groups. Elitists believe that the most significant decisions of government are made by a handful of persons. In reality, political power probably falls somewhere in between these two extremes.

同样，社会既存在冲突，也存在共识，因为人们在某些问题上意见一致，而在其他问题上意见分歧。多元主义者认为，美国存在一种基本共识，冲突发生在这种广泛共识的背景下。另一方面，精英主义者则认为，最终是力量将社会凝聚在一起。力量无需公开展现。它通常隐藏在一种意识形态的形式中，迫使大众接受。这种意识形态成为一种表面上的共识，但并非真正的共识。社会科学家发现，共识更多地存在于抽象原则上，而非具体问题上。

Similarly, societies display both conflict and consensus because people agree on some issues and disagree on others. The pluralists state that a basic consensus exists in the United States, and conflict takes place within the context of this broad consensus. Elitists, on the other hand, say that ultimately it is force that holds society together. Force need not be displayed openly. It is often concealed in the form of an ideology that the masses are forced to accept. This ideology becomes an apparent, but not a real, consensus. Social scientists have found that consensus exists more frequently on abstract principles but not on concrete issues.

参与决策过程的途径是通过加入利益集团。利益集团是由持有相似态度和利益的个人组成的联盟，他们试图影响公共政策——即政府的作为或不作为。利益集团类似于政党，但不推选候选人，也不以完全控制政府为目标。美国有许多利益集团。

Participation in the decision-making process is sought through membership in interest groups. Interest groups are coalitions of individuals with similar attitudes and interests who attempt to influence public policy—that is, what the government does or does not do. Interest groups resemble political parties but do not present candidates for election or aim for complete control of government. There are many interest groups in the United States.

利益集团主要通过游说进行活动，但有时也采取其他形式的抗议。如果利益集团内部团结，且成员地位较高，则其活动最为有效。利益集团的许多活动与政党联合开展。

Interest groups act principally through lobbying but sometimes through different forms of protest. They are most effective if they are united internally and if their members are of high status. Many of the activities of interest groups are performed in conjunction with the political parties.

政党的主要功能是将特定群体推上权力宝座。政党的目的是控制政府并承担管理政府事务的责任。政党还负责界定和澄清议题，并将其组织成平台，为政府运作提供人才，充当反对派和政治社会化的源头，并统一社会力量。美国体制的特点是两党之间几乎没有意识形态差异。它们按照联邦模式组织，两党领导人之间的相似之处比同一党派领导人和成员之间的相似之处更多。

Political parties have the principal function of placing particular groups in power. The purpose of political parties is to gain control of government and to take on the responsibility for conducting its affairs. The parties also define and clarify issues and organize them into a platform, provide personnel to run the government, act as the source of opposition and political socialization, and unify forces in the society. The American system is characterized by two parties with few ideological differences between them. They are organized according to a federal model, and there are more similarities between the leaders of the two parties than between the leaders and members of the same party.

普通公民主要通过投票参与决策。遗憾的是，很少有人能充分利用这一特权。受过良好教育、收入较高的少数群体最积极地参与政治活动，包括投票。而真正需要政府的、受教育程度较低、收入较低的群体却没有投票，因为他们要么漠不关心，要么信息不灵通，要么认为他们的投票不会产生任何影响。2008年大选的不同之处在于，它吸引了大量年轻选民，即所谓的“千禧一代”。

The ordinary citizen participates in decision making principally by voting. Unfortunately, not many people take advantage of this privilege. The well-educated, high-income minority engages most consistently in political activity, including voting. The large mass of less-educated, lower-income people who really need the government fail to vote because they are either apathetic, ill informed, or convinced that their vote will have no impact. The 2008 election was different in that it attracted a large number of young voters, the so-called Millennials.

虽然只有少数人积极参与政治，但几乎所有人都持有政治观点。政治观点是在政治社会化过程中形成的。大众媒体对观点的形成也至关重要。危险在于，尽管媒体力求保持客观公正，但媒体仍然会选择报道的新闻，导致人们接受的可能是宣传而不是教育。

Though only a minority of people are politically active, almost all hold political opinions. Political opinions are formed in the process of political socialization. The mass media are also important to opinion formation. The danger is that people may be receiving propaganda instead of education because the media select the news they report, despite their attempt to be unbiased.

利益集团 具有相似利益的个人组成的联盟，他们相互竞争一部分政治权力，试图影响对自己有利的立法。

interest groups Coalitions of individuals with similar interests who compete with one another for a share of political power, attempting to influence legislation in their favor.

游说利益集团的主要活动，包括试图影响政府官员通过有利于该集团或其所代表的人民的立法。

lobbying The principal activity of interest groups, consisting of attempts to influence public officials to pass legislation that will be beneficial to the group or the people it represents.

多数制民主模式 古典民主模式，其中“民有制政府”一词被解释为由多数人直接做出所有政府决策。

majoritarian model of democracy The classical model of democracy, in which the statement “government by the people” is interpreted as meaning that the majority of the people make all government decisions directly.

政党纲领 政党立场和政策的总体表述。

party platform A general statement of party positions and policies.

多元精英 权力和领导角色分散的群体；他们是不同人口群体的代表，通过选举、利益集团和党派竞争向这些群体负责。

plural elites Groups with diffused power and leadership roles; the representatives of different segments of the population, to whom they are responsible through elections, interest groups, and partisan competition.

多元主义： 对美国政治体系运作方式的一种解读。这种解读假设美国存在多个权力中心，从而造成政治权力分散的局面。

pluralism An interpretation of how the American political system works. This interpretation assumes that there are multiple centers of power, creating a situation in which political power is fragmented and diffused.

政治观点 一个社区的成员就政治问题表达的全部观点。

political opinion The totality of opinions expressed by members of a community on political issues.

政治： 构成并指导国家政府、其政策和行动的力量。也指决定社会中“谁在何时、以何种方式获得什么”的机构。

politics The forces that make up and direct the government of the state, its policies, and its actions. Also, the institution that makes the decisions about “who gets what, when, and how” in society.

公共政策 政府做或不做的事情。

public policy That which government does or does not do.

统治精英 由企业、金融、军事和政府利益代表组成的群体，根据一些社会科学家的说法，他们不顾广大民众的意愿，做出国家所有相关决定。

ruling elite A group composed of representatives of corporate, financial, military, and governmental interests who—according to some social scientists—make all the relevant decisions in the nation, regardless of the wishes of the population at large.

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您想了解的有关投票、游说、选举等信息，都可以在互联网上找到。以下是一些值得关注的网站：

Everything you want to know about voting, lobbying, elections, etc. may be found on the Internet. Here are some Web Sites of interest:

www.abcnews.go.com/Politics/2014-midterm-elections-results-voted/story?id=26694364

www.fairvote.org/research-and-analysis/voter-turnout/；以及www.pewforum.org/2012/11/07/how-the-faithful-voted-2012-preliminary-exit-poll-analysis/

www.fairvote.org/research-and-analysis/voter-turnout/; and www.pewforum.org/2012/11/07/how-the-faithful-voted-2012-preliminary-exit-poll-analysis/

The Economy: Concepts and History

经济：概念与历史

在本章中，你将学习

IN THIS CHAPTER, YOU WILL LEARN

经济作为一个机构的目的和功能；

• the purpose and functions of the economy as an institution;

• 经济学家用来描述经济的概念；

• the concepts that economists use in describing economies;

• 西方经济的历史发展；

• the historical development of Western economies;

• 美国经济在其历史框架内的性质和特征；

• the nature and features of the American economy in its historical framework;

• 公司层级结构的特征；以及

• the characteristics of the corporate hierarchy; and

• 关于全球经济体系的发展。

• about the development of a global economic system.

一个不久前，提及通用汽车、RCA或美国钢铁公司，都象征着巨大的经济财富和权力。这些“巨型企业”使美国成为世界上最富裕的国家，并成为政治和文化价值观的领导者，让所有其他国家或尊敬或羡慕，或爱戴或憎恨，但无论如何都想效仿。如今，其中一些巨头已变得渺小或不复存在，而微软、雅虎、谷歌和苹果等其他公司则取而代之。在如此短的时间内发生的事情，简而言之，一个经济时代正在消逝，另一个经济时代正在到来。在上一个时代，制造种类繁多的产品是使国家及其公民致富的关键。美国在这方面非常擅长：我们制造的机器能够快速生产出大量产品，从而降低成本，几乎每个人都能买得起。然而，就在我们沉浸在成功的喜悦中，还没等我们意识到发生了什么，其他人就已经在学习如何以同样高效、更低成本进行生产。此外，制造业本身也不再像过去那样创造财富。我们已经进入了一个以利用和操控数据或信息来创造新产品为特征的时代。

At one time, not so long ago, to mention GM, or RCA, or US Steel, was to use symbols of vast economic wealth and power. These were the “giant corporations” that had made the United States the most affluent country in the world, as well as a leader in political and cultural values, the country whom all others respected or envied, loved or hated, but at any rate wanted to emulate. Today, some of these giants have been dwarfed or do not exist, and others, with such names as Microsoft, Yahoo, Google, and Apple, have taken their place. What happened in such a relatively short span of time is, quite simply, that one economic era was passing and another was dawning. In the preceding era, the manufacture of a vast array of products was what made the country—and its citizens—rich. The United States was very good at this: we made machines that turned out so many things so quickly that their cost came down, and almost everyone could buy them. But while we were basking in our success, and before we realized what was happening, others were learning to produce just as efficiently and more cheaply. Moreover, manufacturing itself is no longer as wealth producing as it had once been. We have entered a period characterized by the use and manipulation of data, or information, to create new products.

新兴经济体被描述为时尚经济体，也就是说，其生产和销售的产品就像最新的裙子长度或领带宽度一样变化无常。为了理解我们面临的变化以及我们必须适应的变化，以及经济面临的威胁和衰退，必须确切地了解经济体是什么、它做什么以及它的历史发展历程。

The emerging economy has been described as one of fashion, that is, as fickle and changeable in the products it creates and sells as the latest skirt length or tie width. To understand the changes we are facing and to which we must adapt—as well as the threats and downturns to which the economy is subject—it is imperative to know exactly what an economy is, what it does, and how it has developed historically.

经济制度

The Economic Institution

一些人类生存所必需的元素是可以随意获取的：例如，我们呼吸的空气或我们饮用的水（尽管即使是这两种资源，在未受污染的环境中，或在干旱地区，也可能难以获得）。另一方面，食物、住所和防护罩在大多数社会中都是稀缺资源。在某些地区，这些资源比其他地区更为丰富，但无论在哪里，都必须努力积累足够的生存资源。我们在关于制度的讨论中看到，每个社会的主要责任是将需求和资源整合在一起，即以最佳方式解决普遍需求。随着时间的推移，为帮助人们获得生存所需的稀缺资源而出现的行为模式构成了经济制度，它是人类五大关键制度之一（其他四个是：家庭、宗教、教育和政府）。因此，经济本质上是一个行为系统的蓝图，通过这个系统，人们通过做出旨在满足自身需求和应对稀缺问题的决策和选择来适应环境。

Some elements essential to human survival are freely available: the air we breathe, for instance, or the water we drink (though even those two resources may be difficult to obtain in their unpolluted form, or in areas where a drought exists). On the other hand, food, shelter, and protective coverings have been scarce resources in most societies. In some geographic locations, these resources are more abundant than in others, but everywhere an effort must be made to accumulate an adequate supply for survival. We have seen in the discussion of institutions that a primary responsibility of each society is to bring needs and resources together, that is, to solve a universal need in the best possible way. The patterns of behavior that have emerged in the course of time to help people obtain the scarce resources needed for survival make up the institution of the economy, one of the five pivotal human institutions (the other four being: the family, religion, education, and government). The economy, then, is in essence a blueprint for a system of behavior through which people adapt to their environment by making decisions and choices aimed at satisfying their needs and combating the problem of scarcity.

社会中人们必须做出的第一个决定关乎生产的需要。生产可能意味着狩猎动物并将其带回营地，播种和收割田地，在装配线上拧动螺栓，或将数据输入计算机。关键在于，社会必须激励其成员完成这些任务，以便他们有饭吃、有衣穿，并拥有一个安全的地方来抵御风雨。

The first decision people in a society must make concerns the need for production. Production may mean hunting an animal and bringing it back to camp, sowing and harvesting a field, turning a bolt on an assembly line, or entering data into a computer. The point is that societies must motivate their members to perform those tasks so that they may eat, cover themselves, and have a safe place in which to be protected from the elements.

下一个决策涉及分配生产成果的必要性。在没有剩余的社会中，分配很容易：生产出来的任何东西都会立即被分配和消费。然而，如果存在剩余，那么“谁得到什么，以及如何得到？”这个问题就会变得更加棘手。有些人总是比其他人积累更多的剩余。这给了他们额外的优势——使他们比其他人更强壮、更健康或更富有，而当剩余部分传给他们的孩子时，这种优势就会成倍增加。最终，结果是一个分层的社会，其中的分配方式包括易货、礼物、嫁妆、货币体系、工资、投资等等。

The next decision concerns the necessity of distributing what has been produced. Distribution is easy in a society that has no surplus: whatever is produced is immediately distributed and consumed. If there is a surplus, however, the question, “Who gets what, and how?” becomes more difficult. Some individuals always accumulate more of the surplus than others. This gives them an extra edge—it makes them stronger, healthier, or wealthier—than others, and this advantage is multiplied when the excess is passed on to their children. Eventually, the result is a stratified society in which the methods of distribution include barter, gifts, dowries, monetary systems, wages, investments, and so on.

经济的最后一个问题是消费。在简单的社会中，消费同样不成问题。然而，在更复杂的社会中，人们会产生对并非严格生存所需之物的渴望。他们想要更丰富的食物、更鲜艳的衣服，以及更舒适或更豪华的住房。此外，在工业社会中，消费受到鼓励，因为它能促进经济增长；然而，有时，由于某种资源暂时稀缺（例如20世纪70年代美国必须实行汽油配给），消费必须受到限制。

The final issue in the economy is consumption. Consumption, again, presents no problems in simple societies. In more complex societies, however, people develop desires for things that are not needed strictly for survival. They want more variety in food, more colorful clothing, and more comfortable or luxurious housing. In industrial societies, moreover, consumption is encouraged because it makes the economy grow; however, on occasion, consumption must be limited because a certain resource is temporarily scarce (as when gasoline had to be rationed in the United States in the 1970s).

研究经济的结构、功能和一般运作方式属于经济学这一社会科学学科。经济学家、社会学家和心理学家之所以分析经济，是因为经济制度是由人们为谋生而进行的互动构成，并且与其他制度相互依存。社会科学家尤其关注各种类型的经济体系：开展经济活动的正式组织的规模、功能和权力；职业、工作和休闲（这些都会影响人们）以及类似的问题。

The study of the structure, functions, and general working of the economy belongs to the social science discipline of economics. Economists, as well as sociologists and psychologists, analyze the economy because the institution consists of the interactions of people in pursuit of a livelihood and because it is interdependent with other institutions. In particular, social scientists examine the various types of economic systems: the size, functions, and power of the formal organizations in which economic activities go on; occupations, work, and leisure, as these affect people; and similar issues.

经济决策

Economic Decision Making

每个经济体系必须决定的基本问题可以概括如下：

The basic questions that every economic system must decide may be summarized as follows:

1. 应该生产哪些商品？生产多少？

1. Which commodities should be produced, and in what quantities?

2. 如何才能最高效地生产这些商品？

2. How should these commodities be produced with greatest efficiency?

3.这些商品应该为谁生产（如何分配）？

3. For whom should these commodities be produced (how should they be distributed)?

不同的社会以不同的方式解决这些经济问题。在一些社会中，这些问题完全依靠习俗和传统来解决。种植特定的作物或制造特定的物品，因为人们一直都是这样做的。在另一些社会中，决策是通过命令做出的。统治者或代表统治者的机构下令种植某某作物或制造某某物品。这些裁决也可能基于传统，也可能是出于个人权力扩张的原因，甚至是因为它们被认为（或据称）对人民有益。最后，在一些社会中，这些问题的答案是根据市场运作来决定的，而市场取决于供求、价格、利润和亏损。

Different societies solve these economic questions in different ways. In some, the questions are solved by relying entirely on custom and tradition. Specific crops are grown or articles manufactured because it has always been done this way. In others, decisions are made by command. A ruler or body representing the ruler orders that such and such crops will be grown or such and such articles will be made. These rulings may also be based on tradition, or they may be made for reasons of personal aggrandizement or even because they are perceived to be (or alleged to be) beneficial to the people. Finally, in some societies, answers to these questions are decided according to the working of a market that depends on supply and demand, on prices, profits, and losses.

当今很少有经济体完全依赖上述其中一种体系。大多数经济体是两种甚至三种体系的混合。例如，在美国经济中，私人和公共（政府）机构都行使着经济控制权。此外，供给和需求的运作方式从来都不是截然相反的。存在着创造需求和限制供给以人为抬高价格的方法。在西方工业社会中，市场和指令系统都被用来制定经济决策。

Very few economies today are based entirely on only one of the systems described. Most are a mixture of two or even all three of them. In the American economy, for instance, both private and public (governmental) organizations exercise economic control. Moreover, supply and demand never function in a clear-cut way. There are ways of creating demand and limiting supply to keep prices artificially high. Both the market and the command system are used to make economic decisions in Western industrial societies.

经济基本要素

Basic Elements of the Economy

每个社会生产的商品和服务都源于该社会自然存在的资源。（当然，当易货贸易出现时，资源可能会从其他社会进口并与其他社会交换。）资源被定义为生产商品和服务所需的一切。资源包括物质对象以及用于生产商品和服务的人力。物质对象可能存在于自然界中，也可能由人工制造。用于制造产品的人力被称为劳动力，而自然资源，如土地、矿物和水，被经济学家称为土地。最后，人类制造的物质对象，如机器、工厂、鞋子和计算机，被称为资本。

The goods and services that are produced in each society derive from the resources that are found naturally in that society. (Of course, when barter and trade come into being, resources may be imported from and exchanged with other societies.) Resources are defined as everything that is needed for the production of goods and services. Resources include material objects as well as the human energy used in producing goods and services. Material objects may be found in nature or may be made by people. The human energy expended in making products is called labor, and natural resources, such as land, minerals, and water, are called land by economists. Finally, material objects made by humans, such as machinery, factories, shoes, and computers, are known as capital.

自由市场经济

Free Market Economies

图 17.1a

FIGURE 17.1a

经 Economics Online 许可转载www.economicsonline.co.uk/Competitive_markets/Economic_systems.html

Reprinted with permission from Economics Online www.economicsonline.co.uk/Competitive_markets/Economic_systems.html

计划经济

Command Economies

图 17.1b

FIGURE 17.1b

经 Economics Online 许可转载www.economicsonline.co.uk/Competitive_markets/Economic_systems.html

Reprinted with permission from Economics Online www.economicsonline.co.uk/Competitive_markets/Economic_systems.html

混合经济

Mixed Economies

图 17.1c

FIGURE 17.1c

经 Economics Online 许可转载www.economicsonline.co.uk/Competitive_markets/Economic_systems.html

Reprinted with permission from Economics Online www.economicsonline.co.uk/Competitive_markets/Economic_systems.html

生产要素

Factors of Production

劳动力、土地和资本，加上企业家精神，是生产商品和服务必须结合的基本要素。它们被称为生产要素。例如，在建造房屋时，人们在企业家精神的驱使下，运用人力（劳动力）在一块地皮（土地）上建造建筑物，既使用天然物质（木材、石材），也使用人造物质（钉子、锤子、砖块等）。用经济学术语来说，建造的成果是一种可供使用、出售或交换其他商品的商品。

Labor, land, and capital, in addition to entrepreneurship, are the basic elements that must be combined in the production of goods and services. They are referred to as the factors of production. For example, when building a house, people are driven by the spirit of entrepreneurship to use human energy (labor) to put a structure on a lot (land) using both natural material objects (wood, stone) and human-made material objects (nails, hammers, bricks, etc.). In economic terms, the result is a good that one can use or that one can sell or trade for another good.

除了这些基本的生产要素外，技术、时间和效率在生产中也发挥着重要作用。一个社会拥有的技能和知识（技术）越多，其产品和服务的生产效率就越高。时间是一种稀缺而宝贵的经济资源：事实上，生产要想有效，就必须在合理的时间限制内进行。效率也是生产中的一个重要因素，因为它是一种在最短时间内从给定的资源组合中获得最高产出的方法。

In addition to these basic factors of production, technology, time, and efficiency play important parts in production. The more skill and knowledge (technology) a society has, the more effective is its production of goods and services. Time is an economic resource that is scarce and precious: if production is to be effective, in fact, it must occur within reasonable time limits. Efficiency is also an important factor in production because it is a way of obtaining the highest output from a given combination of resources in the least amount of time.

资源用途广泛，用途广泛。土地可以用来种植农作物，也可以用来建造工厂、公寓或购物中心。劳动力可以用来收割农作物，也可以用来开发复杂的数据系统或用于教学。但资源是有限的，它们可能被耗尽或毁灭，而且并非总是能够被取代。因此，社会必须节约资源，并努力补充生产中消耗的资源。

Resources are versatile. They can be put to many different uses. Land can be used to grow crops or for building factories, apartments, or shopping centers. Labor can be used to harvest crops or to develop complex data systems or to teach. But resources are finite. They can be used up or destroyed and cannot always be replaced. Societies must, therefore, conserve their resources and try to replace those used up in production.

经济选择和机会成本

Economic Choices and Opportunity Costs

由于资源稀缺、用途广泛且有限，每个社会中的人们都必须做出某些选择。经典的经济选择通常被称为“枪炮与黄油”的选择，即一个社会必须在生产武器以防卫和种植粮食以养活人民之间做出选择。几乎每个行为都体现了这种选择：即使学生选择阅读本章而不是慢跑或用手机发短信，也表明为了在社会科学课程中取得好成绩，该学生愿意牺牲其他可能更愉快的事情。这种牺牲被称为机会成本。

Because resources are scarce, versatile, and finite, people in each society find that they must make certain choices. The classic economic choice has been the one commonly referred to as between guns and butter, meaning that a society must choose between producing weapons for defense and growing food to feed its people. Almost every action illustrates this type of choice: even the fact that a student is reading this chapter rather than jogging or texting on a cell phone demonstrates that, to obtain a good grade in social science, the student is willing to sacrifice doing other, presumably more pleasant, things. This sacrifice is called the opportunity cost.

当然，在分析经济时，我们感兴趣的不是个人的机会成本。我们之所以对这个概念感兴趣，是因为我们可以对生产某种东西所需的资源进行估值，从而做出理性的选择。在某些方面，经济学可以定义为研究如何配置稀缺资源，以使最多的人获得最大满足。一个社会必须决定，是使用一定数量的土地、劳动力和资本来建造一艘核攻击潜艇（从而能够保卫国家免受敌方侵害），还是建造住房、铁路、高速公路，或者其他成千上万种选择。即使是一个能够同时做很多事情的富裕社会，也必须在某个时刻做出这些选择。我们个人所做的每一件事，以及一个社会所做的每一件事，都涉及机会成本。

Of course, in analyzing the economy we are not interested in personal opportunity costs. We are interested in the concept because we can then put a value on the resources needed to produce something, and so make rational choices. In some respects, economics can be defined as the study of how to allocate scarce resources to attain the greatest satisfaction for the greatest number of people. A society must decide whether to use land, labor, and capital in a specific amount of dollars to build a nuclear attack submarine (and so be able to defend the country from hostile enemies) or to build housing, or railroads, or highways, or any of a thousand other alternatives. Even an affluent society that can do many things at the same time has to make these choices at some point. Everything we do as individuals, and everything a society does, involves an opportunity cost.

产出限制：生产可能性边界

Limits to Output: The Production Possibilities Frontier

经济体系旨在提高产量，但产量是有限的。资源和技术是影响社会绝对生产可能性的变量。拥有更多生产要素的社会可以生产更多商品和服务。拥有更多技术（即如何使用资源的知识）的社会可以实现同样的目标。然而，资源和技术都是固定的，因此生产可能性最终是有限的：在任何给定时间内，产量都是有限的。这也很好，因为人们需要各种各样的商品和服务，因此专注于大量生产一种产品毫无意义。重要的是，人们要认识到，生产一种产品所需的资源和技术越多，生产另一种产品所需的资源和技术就越少。因此，经济学家认为每个社会都面临着一个生产可能性边界，他们将生产可能性绘制成图表，即生产可能性曲线图。这些曲线图说明了当可用资源被分配到所需数量的商品中时，每种商品可以生产多少。

Economic systems are geared toward increasing output, but output has limits. Resources and technology are the variables that affect the absolute production possibilities of a society. A society that has more factors of production can produce more goods and services. A society that has more technology (the knowledge of how to use resources) can achieve the same goal. Both resources and technology are fixed, however, so production possibilities are ultimately limited: there is just so much that can be produced at any given time. This is just as well because people want a great variety of goods and services, so it makes little sense to concentrate on producing a large amount of one product. It is only important for people to realize that the more resources and technology are used in producing one product, the less resources and technology will be available for producing another. Economists maintain, therefore, that every society is faced with a production-possibility frontier, and they chart production possibilities on a graph as production-possibility schedules. These schedules illustrate how much of each commodity can be produced when available resources are split among the number of commodities desired.

劳动专业化

Specialization of Labor

我们今天所经历的经济状况，是大约一万年前出现的条件的结果，当时第一次农业革命将狩猎采集者群体转变为定居的粮食生产者。当人们开始种植作物并照料家畜时，他们发现可以创造盈余。也就是说，他们可以生产出超过其当前生存所需的产品。这意味着并非每个人都需要耕种土地。最终的结果就是劳动分工的出现。

The economic conditions that we experience today are the results of conditions that arose around 10,000 years ago, when the first agricultural revolution transformed groups of hunters and gatherers into settled food producers. When people began to tend crops that had been planted and to care for animals that had been domesticated, they discovered that they could create surpluses. That is, they could produce more than they required for their immediate survival. This meant that not everyone was needed to work the land. The end result was specialization of labor.

专业化高效且有效。这意味着一些人可以专注于食品生产以外的任务，而另一些人则只能成为他人产品的消费者。由于人们的才能各有不同，专业化让每个人都有机会做自己最擅长的事情。

Specialization is effective and efficient. It means that some people can devote themselves to tasks other than food production and that some become strictly consumers of products that others make. Because people have different talents, specialization gives each the opportunity to do what he or she does best.

在当代工业社会中，工作不仅专业化，而且还遵循分工。这意味着每个工人重复单一动作，而不一定知道最终产品是什么样子。分工再次提高了产品的生产效率和速度。然而，这种方法削弱了工人对工作的掌控感、独立性以及出色完成工作通常带来的成就感。在工业体系中，工人不再生产产品；相反，他们将劳动力出卖给工厂主，成为匿名“劳动力”的一部分。在正在兴起的新经济时代，专业化可能会失去其部分重要性，因为新的流程需要一种不那么刻板、更具创造力的工人。

Not only is work specialized in contemporary industrial societies, but it also proceeds according to a division of labor. This means that each worker repeats a single action, without necessarily knowing what the finished product will look like. Again, division of labor adds to the efficiency and rapidity with which a product can be manufactured. However, the method decreases workers’ sense of control over their jobs, their independence, and the feeling of accomplishment that usually accompanies a job well done. In industrial systems, workers no longer make things; rather, they sell their labor to factory owners and become part of an anonymous “labor force.” In the new economic era that is emerging, specialization may lose some of its importance, as the new processes require a less regimented, more creative worker.

图 17.1当今后工业社会的工作与过去的工作截然不同。我们的经济部门已经发生了巨大的转变，如今我们主要是一个服务型经济，由专业人员和其他使用技术知识的工人组成。

IMAGE 17.1 Work in today’s postindustrial society differs dramatically from work in the past. Sectors of our economy have shifted to the degree that we are now predominantly a service economy with professionals and other workers using technological know-how.

图 17.2工业工人有时会得到机器人的帮助，但有时也会被机器人取代。

IMAGE 17.2 Industrial workers are sometimes helped, but also sometimes replaced, by robots.

贸易、易货和货币

Trade, Barter, and Money

如果一个人专门生产某种产品，那么用它换取别人生产且自己需要的产品是合理的。过去，交易实际上是在市场上进行的。如今，这个词也被用来比喻，尤其是在经济领域。事实上，美国经济被称为“市场体系”，因为一群人专门生产特定的物品，并根据双方都同意的合同自愿交换。

If one specializes in making a particular product, it makes sense to trade it for a product that someone else makes and that one needs. In the past, trading was literally done in marketplaces. Today, the term is also used figuratively, especially in the context of the economy. In fact, the American economy is called a “market system” because groups of people specialize in producing specific objects and voluntarily exchange them according to contracts agreeable to both parties.

曾经有一段时间，所有经济体系都依赖于易货贸易或直接的商品交换。然而，易货贸易既繁琐又不便。这时，货币的概念应运而生。货币是一种交换媒介。它使一个人能够将自己拥有的产品卖给另一个想要该产品的人，从而获得相应的货币。然后，这个人可以用这笔钱从出售该产品的人那里购买他需要的东西。

At one time, all economic systems depended on barter or on the direct exchange of goods. Barter, however, is cumbersome and awkward. This is where the concept of money comes in. Money is a medium of exchange. It makes it possible for one individual to sell a product he has to another individual who wants it, obtaining money for it. Then that individual can use the money to buy something he needs from someone who has it for sale.

当代经济体系：如何做出选择

Contemporary Economic Systems: How Choices Are Made

经济制度既是文化体系，也是社会体系。它们之所以是社会体系，是因为人们拥有特定的地位，并扮演着与这些地位相符的角色。它们之所以是文化体系，是因为行为模式、价值观和期望围绕着生产体系而产生。这些模式随后通过人们认可的哲学或意识形态而合法化。在世界现代工业社会中，三种最重要的经济行为模式及其背后的合法化意识形态是资本主义、社会主义和共产主义，我们将在第十四章中讨论这些模式。（在这三种模式中，似乎只有资本主义能够站稳脚跟，因为共产主义已基本被抛弃，而社会主义则披上了更具资本主义色彩的外衣。）

Economic institutions are both cultural and social systems. They are social systems because people hold specific statuses and play the roles corresponding to those statuses. They are cultural systems because patterns of behavior, values, and expectations emerge around a system of production. These patterns are then made legitimate by a philosophy or ideology that the people accept as valid. In the modern industrial societies of the world, the three foremost economic patterns of behavior and the legitimizing ideologies that underlie them are capitalism, socialism, and communism, discussed in Chapter 14. (Of the three, only capitalism seems to hold its own, as communism has been largely abandoned, and socialism has acquired a more capitalistic face.)

图片 17.3我们将我们的经济称为市场体系，这个术语源于真实的市场，尽管有超市和购物中心，人们仍然在市场中买卖。

IMAGE 17.3 We call our economy a market system, a term derived from a real marketplace where people still buy and sell, despite the availability of supermarkets and shopping malls.

iStock：© RnDmS

iStock: © RnDmS

一个社会的经济体系很大程度上取决于该社会的财产观念。财产被定义为所有者对某一物品所拥有的权利，相对于非该物品所有者的权利。财产概念的出现是因为资源稀缺，而拥有部分资源可以带来丰厚的利润。在大多数社会中，财产所有权分为三种形式：公有、私有或公共。在公有所有权形式下，财产属于社区所有。社区的任何成员都可以使用，但不能拥有它。在私有所有权形式下，财产属于个人所有。除非个人许可，否则他人不得使用其财产。在公共所有权形式下，国家或官方认可的政治机构以人民的名义拥有财产。通常，学校、高速公路、公园和公共交通系统均为公有。

The economic system of a society is determined largely by that society’s concept of property. Property is defined as the rights that an owner has to an object, as compared with the rights of those who are not owners of that object. The concept of property arises because resources are scarce, and it is profitable to own some of them. In most societies, ownership of property takes one of three forms: communal, private, or public. In the communal form of ownership, property belongs to a community. Any member of the community may use it but may not own it. In the private form of ownership, property belongs to individuals. Unless an individual gives permission, his or her property may not be used by others. In the public form of ownership, the state or an officially recognized political authority owns property in the name of the people. Generally, schools, highways, parks, and public transportation systems are publicly owned.

虽然财产所有权的方式决定了一个社会的经济制度，但没有哪个社会会严格局限于某一形式。所有社会都承认一定程度的私有制，而一定程度的公有制对所有社会而言也至关重要。不同制度之间的区别在于对其中一种或另一种形式的认可程度。

Although the manner in which property is owned determines the economic system of a society, none is limited strictly to one form. All societies recognize some private ownership, and some public ownership is essential to all. It is the extent to which one or the other form is recognized that differentiates one system from another.

共产主义、社会主义和资本主义这三种经济制度，都处于理想连续体的不同点上。造成它们差异的原因在于政府干预经济的程度。在改良资本主义下，政府干预最少，尽管干预正在增加。在民主社会主义下，政府干预关键行业。在共产主义下，政府决定一切经济活动。现代社会的经济是程度而非种类的问题。

All three economic systems—communism, socialism, and capitalism—lie at different points on an ideal continuum. What accounts for their differences is the extent to which the government intervenes in the economy. In modified capitalism, government interferes least, although intervention is increasing. In democratic socialism, government interferes in essential industries. In communism, government determines all economic action. The economies of modern societies are matters of degree rather than kind.

历史视角下的西方经济学

Western Economies in Historical Perspective

西方世界的经济大多是改良的资本主义混合市场经济。其根源可以追溯到西欧在摆脱中世纪时发生的重大转型。这一转型围绕着从以农业为主的生产方式向以工业为主的生产方式的转变（参见第十章）。这一转型充满了冲突，因为社会的阶级结构以及价值观和信仰必须发生根本性的变化。例如，在农业社会中，财富、权力和地位属于土地所有者。在封建时代的欧洲，这个阶级是土地贵族；在内战前的美国，这个阶级是种植园主和其他大地主。当工业成为主要的生产方式时，地位和权力就转移到那些控制着工业和金融资本的人手中。

The economies of the Western world are mostly modified capitalist, mixed-market economies. Their roots go back to a momentous transformation that occurred in Western Europe as it was emerging from the Middle Ages. The transformation revolved around the transition from a chiefly agricultural to a chiefly industrial mode of production (see Chapter 10). This transformation was marked by conflict because fundamental changes had to occur in the class structure and in the values and beliefs of societies. In agrarian societies, for instance, wealth, power, and status had belonged to landowners. In feudal Europe, this class was the landed aristocracy; in pre-Civil War America, it was the plantation owners and other large landholders. When industry became the chief mode of production, the status and power shifted to those who controlled industrial and financial capital.

资本主义的诞生

The Birth of Capitalism

工业化催生了中产阶级（或资产阶级），他们的价值观和信仰促进了资本的积累和持续的再投资。尤其需要牢记的是，个体价值和个人成就感的理念必须深入人心。这些理念与前封建时代的主流观念截然相反，在前封建时代，个体的重要性被淡化，幸福甚至不成其为一个问题：人们最多认为幸福可以在死后而不是今生获得。在新的工业体系中，个人必须认识到，追求更高的社会地位、财富和声望是可以接受的，而这些都可以通过努力工作获得。因此，利润动机和职业道德被赋予了积极的社会价值。

Industrialization brought in its wake a middle class (or bourgeoisie), whose values and beliefs facilitated the accumulation of capital and its continued reinvestment. In particular, the idea of the value of the individual human being and of personal fulfillment had to take hold. These ideas were in opposition to those prevalent in the preceding feudal era, in which the importance of the individual was downplayed, and happiness was not even an issue: at best, it was thought that people might attain it after death rather than in this life. In the new industrial system, the individual had to learn that it was okay to aspire to a better social status, wealth, and prestige, and that these could be acquired through hard work. Thus, the profit motive and the work ethic were given positive social value.

这种价值观和信仰的转变与新教改革推动的某些宗教思想在欧洲的传播同时发生。新的宗教教义颂扬勤劳、节俭和拒绝感官享乐，因此，它们似乎与资本主义的某些观念密不可分。如第 13 章所述，马克斯·韦伯在其经典著作《新教伦理与资本主义精神》 （1904-1905/1958 年）中分析了新的宗教思想与资本主义兴起之间的关系。这些教义尤其吸引了英国和荷兰新兴的商人阶级，他们后来被称为清教徒。清教徒确信他们的生活方式特别令上帝喜悦；因此，他们特别容易接受新的经济制度——资本主义，并最终将其带到了新大陆。

This transformation of values and beliefs was occurring at the same time that certain religious ideas, put in motion by the Protestant Reformation, were also circulating in Europe. The new religious doctrines extolled hard work, thrift, and denial of sensual pleasures and, thus, seemed to go hand in hand with some of the notions of capitalism. As noted in Chapter 13, the relationship between the new religious ideas and the emergence of capitalism was analyzed by Max Weber in his classic work, The Protestant Ethic and the Spirit of Capitalism (1904–1905/1958.) The doctrines appealed especially to the emerging merchant classes in England and Holland, who came to be called Puritans. The Puritans were convinced that their way of life was particularly pleasing to God; thus, they became especially receptive to the new economic system, capitalism, and eventually brought it with them to the New World.

正如工业主义需要价值观的重组，资本主义最初也需要重新梳理关于经济功能的概念。财富的基础不再是地主用来交换媒介的金银，而是生产要素的所有权：土地、劳动力和资本，以及企业家精神。此外，生产要素被抽象化、非人化，被当作物品，在市场上买卖。特别是，曾经为了换取食物、住所和保护而交给地主的劳动力，现在可以以工资的形式卖给出价最高的人。财富从地主转移到拥有或控制生产资料的人——那些拥有机器、工具和材料的人。这些新的所有者就是商人中产阶级。而后者雇佣的是自由公民，而不是农奴或封臣，来从事生产所需的劳动。

As industrialism required a reorganization of values, so capitalism at first required a rearrangement of concepts about the function of an economy. Instead of gold and silver, which landowners used as an exchange medium, the basis of wealth became ownership of the factors of production: land, labor, and capital, as well as the spirit of entrepreneurship. In addition, the factors of production were abstracted, dehumanized, treated as objects, and bought and sold in the marketplace. In particular, labor, which once was given to a landowner in exchange for food, shelter, and protection, could now be sold in exchange for wages to the highest bidder. Wealth shifted from landowners to those who owned or controlled the means of production—those who had machines, tools, and materials. These new owners were the merchant middle classes. And the latter were employing free citizens, rather than serfs or vassals, to do the labor needed for production.

新的经济体系极大地提高了商品和服务的产量，使更多社会成员能够享用这些产品和服务。曾经贫困无力、却又受到庇护的农奴和学徒，如今已成为工人阶级（用马克思的话说，无产阶级）。为了换取工资，他们放弃了个人劳动责任，而将劳动责任转交给了雇主。

The new economic system greatly increased the production of goods and services, putting them within reach of many more societal members. The once poor and powerless, but sheltered and protected, serfs and apprentices became a working class (in Marxian terms, the proletariat). In exchange for wages, they gave up individual responsibility for their work, which became the responsibility of the employer.

图片 17.4修建铁路是工业资本主义的一种形式，它不仅使业主致富，而且扩大了国家，使人们能够迁移到以前与世隔绝的地方。

IMAGE 17.4 Building railroads was a form of industrial capitalism that not only enriched the owners, but also expanded the country, allowing people to move into places that had been isolated previously.

19世纪，西方社会的资本主义制度以工厂生产体系为组织形式，工厂由少数权势显赫的个人和家族所有。然而，到了19世纪末，这一体系开始衰落，并被金融资本主义和工业资本主义所取代。

During the nineteenth century, capitalism in Western societies was organized as a factory production system in which factories were owned by a few powerful individuals and families. Toward the end of the century, however, this system began to decline and to be replaced by finance and industrial capitalism.

工业资本主义的方方面面

Aspects of Industrial Capitalism

直到十九世纪中叶，主流的商业组织形式一直是公司，由单一所有者或合伙企业拥有和管理。尽管其中一些公司规模庞大，但其很大一部分利润必须重新投资于公司内部，从而将可用于增长的现金量保持在最低水平。这些在工业化早期盛行的商业组织主要涉及制造业、采矿业和运输业，即所有形式的工业资本主义。

Up to the middle of the nineteenth century, the predominant form of business organization had been the company, owned and managed by a single owner or a partnership. Although some of these companies operated on a large scale, a great proportion of their profits had to be reinvested in the company, keeping the amount of cash disposable for growth at a minimum. These business organizations prevalent during the early part of industrialism were concerned mainly with manufacturing, mining, and transportation, all forms of industrial capitalism.

如今，在美国数百万家企业中，三分之二仍然是独资企业。独资企业是最简单的企业组织形式，其优势在于所有者对企业拥有唯一且完全的控制权。然而，这种企业组织形式也存在一些缺点：所有者对企业产生的任何债务承担无限责任；很难筹集到足够的资金来使企业获得巨大成功；而且，如果所有者去世或退休，企业就会倒闭。这些缺点的典型表现是，每五家新企业中就有三家在运营三年之前就破产了。

Today, of the millions of businesses in the United States, two-thirds are still sole proprietorships. A sole proprietorship is the simplest form of business organization, having the advantage that the owner is in sole and total control of the enterprise. However, this form of business organization has a number of disadvantages: the owner has unlimited liability for any debts the business incurs; it is difficult to raise sufficient money to make the business a big success; and when the owner dies or retires, the enterprise goes out of business. It is symptomatic of these disadvantages that three of every five new businesses go bankrupt before their third year of operation.

合伙企业是一种略微复杂的商业组织形式，由两个或两个以上的个人组成，他们同意将自己的部分资源投入企业，以分享利润或承担部分损失。合伙企业的优势在于可以筹集更多资金，但决策通常更加困难，并且每个合伙人都要对合伙企业的所有债务和债权承担责任。这种商业组织形式在美国最为少见，占所有企业的不到10%，销售额占所有企业的不到5%。

Partnerships, a slightly more complex form of business organization, involve two or more individuals, who agree to contribute some of their own resources to an enterprise in return for a share of the profits or losses. The advantage is that more money can be raised, but decision making is usually more difficult, and each partner is liable for all the debts and claims against the partnership. This form of business organization is the least common in the United States, making up less than 10 percent of all firms and accounting for less than 5 percent of all firm sales.

产业组织的公司形式

The Corporate Form of Industrial Organization

十九世纪末期，金融资本主义的发展方向发生了转变。金融资本主义的特点是：投资银行和保险公司主导工业，形成庞大的资本集合体，所有权与经营权分离，控股公司出现。

During the final years of the nineteenth century, a change was made in the direction of finance capitalism. Finance capitalism is characterized by these conditions: investment banks and insurance companies dominate industry, large aggregates of capital are formed, ownership becomes separate from management, and the holding company appears.

金融资本主义最重要的产物是公司，一种通常为大规模生产而组织起来的企业形式。为了筹集扩张所需的巨额资金，公司所有者出售股票或债券。股票是公司所有权的份额。债券是以固定利率偿还贷款的承诺。股票或债券的购买者实际上成为新组织的共同所有者。他们可能拥有与原所有者相同或更多的权力，这取决于他们所拥有的股份百分比。现在，管理和运营责任由集中董事会聘请的执行经理承担。后者在年度股东大会上选举产生，在大会上，每一股股票对应一票。

The foremost product of finance capitalism is the corporation, a form of enterprise typically organized for large-scale production. To raise the huge sums of money needed for expansion, the owners of a company offer to sell stocks or bonds. Stocks are shares of ownership of the corporations. Bonds are promises to repay a loan with a set rate of interest. The buyers of shares or bonds become in effect the coowners of the new organization. They may have as much or more power than the original owners, depending on the percentage of shares they own. Management and responsibility for operations are now carried out by executive managers hired by a centralized board of directors. The latter are elected at the annual stockholders’ meetings, at which each share of stock corresponds to one vote.

所有权与管理权分离的目的是确保利润动机不会成为管理者的主要关注点，他们实际上是公司的受薪雇员。他们的职责是追求公司的福祉；而真正的所有者——股东——实际上是缺席的所有者。

The separation of ownership from management was designed to ensure that the profit motive does not become the prime concern of the managers, who are really salaried employees of the corporation. Their functions are to pursue the welfare of the corporation; the real owners—the shareholders—are, in effect, absentee owners.

公司经政府认定为法人实体。因此，它可以获取资源、拥有资产、生产和销售商品、发放信贷或承担债务、起诉和被起诉，以及履行其他类似职能——所有这些职能都与其所有者——股东——不同。有限责任条款确保，如果公司破产，股东仅损失其投资，无需承担任何其他责任。

The corporation is designated by the government as a legal entity. As such, it can acquire resources, own assets, manufacture and sell goods, extend credit or incur debts, sue and be sued, and perform other similar functions—all distinct from its owners, the shareholders. The limited liability clause ensures that the shareholders lose only their investment and are liable for nothing else if the corporation becomes bankrupt.

公司因其强大的融资能力，已成为迄今为止最有效的商业组织形式。通过汇集数千户家庭的储蓄，公司获得了大量资金，用于购买原材料、机器设备以及支付生产费用。股东也拥有诸多优势：他们无需操心企业管理，投资可以分散到多家公司，而且可以轻松处置。

The corporation has become by far the most effective form of business organization because of its ability to raise capital. By pooling the savings of thousands of households, corporations acquire large sums of capital to buy raw materials and machinery and to pay for production. The shareholders also have advantages: they need not be concerned with managing the enterprise, investments may be spread among a number of corporations, and they can be easily disposed of.

公司之所以稳定，是因为它们不像独资企业或合伙企业那样受所有者死亡或疾病的影响。生病或效率低下的经理人很容易被替换。这种“永生性”使得公司能够进行长远规划和发展。由于公司税率与个人税率不同，公司也享有一定的税收优惠。政府为公司提供诸多税收优惠和减免，以至于这种政府慷慨解囊被称为“企业福利”（Barlett & Steele，1998，第36-40页）。为了创造就业机会，政府提供了许多激励措施，从减税到价格支持，从丰厚的政府合同到直接拨款。州和地方政府实际上是在贿赂公司，让它们落户其所在地。

Corporations are stable in the sense that they are not subject to death or disease of the owners in the same way sole proprietorships or partnerships are. An ill or inefficient manager is simply replaced. This “immortality” allows long-range planning and growth to take place. Corporations also offer certain tax advantages because the rate of taxation is different for corporations than for individuals. The government offers corporations many tax advantages and breaks, so much so that this government largesse has been characterized as “corporate welfare” (Barlett & Steele, 1998, 36–40). Hoping to create jobs, governments offer many incentives, from tax abatements to price supports, from lucrative government contracts to outright grants. State and local governments practically bribe corporations to locate in their geographic areas.

公司组织形式的成功本身也导致了一些弊端。19世纪末，当公司逐渐壮大时，它们助长了经济扩张以小企业为代价。垄断和托拉斯取代了小企业家，成为经济中最强大的部分。垄断是指一家公司生产特定产品的全部市场供应；托拉斯是指企业合并，目的是垄断市场。早期的“工业巨头”（或许更准确地说，是“强盗大亨”）建立了庞大的工业帝国：洛克菲勒掌管石油，卡内基掌管钢铁，阿莫尔和斯威夫特掌管肉类包装，范德比尔特和斯坦福掌管铁路，摩根掌管银行，亨利·福特掌管汽车。这些帝国的掌门人权力如此之大，以至于亨利·福特可以一手决定提高其汽车的价格，此外，还将所有T型车都改为黑色。据报道，当他的经理告诉他，人们抱怨颜色选择不足时，他说：“只要是黑色的，我不在乎你给他们什么。”最终结果是，这些公司获得了巨大的市场力量，能够随意定价，彻底摧毁竞争。最终，垄断和托拉斯的权力膨胀到如此程度，以至于改革者开始将其视为需要根除的社会问题。改革者开始谈论“打破托拉斯”，即打破经济权力的高度集中，最终政府介入。监管立法以1890年的《谢尔曼反托拉斯法》的形式获得通过，该法禁止限制贸易的垄断活动，后来，1914年的《联邦贸易委员会法》也获得通过，禁止不正当竞争。

The very success of the corporate form of organization has led to some abuse. In the late nineteenth century, when corporations were coming into their own, they fueled economic expansion at great costs to small businesses. Monopolies and trusts came to replace the small entrepreneur and became the most powerful segment of the economy. In a monopoly, one firm produces the entire market supply of a specific product; trusts are mergers of corporations for the purpose of cornering a market. The early “captains of industry” (also remembered, perhaps more accurately, as the “robber barons”) built huge industrial empires: Rockefeller in oil, Carnegie in steel, Armour and Swift in meat packing, Vanderbilt and Stanford in railroads, Morgan in banking, and Henry Ford in automobiles. So powerful were the heads of these empires that Henry Ford could single-handedly decide to raise the price of his car and, in addition, to make all Model Ts in black only. When told by his managers that people complained about the lack of choice in colors, he is reported to have said, “I don’t care what you give them as long as it is black.” The end result was that these corporations acquired such market power that they were able to set prices at will and totally destroy competition. Eventually, the power of monopolies and trusts grew to such an extent that reformers began to perceive them as social problems to be eradicated. Reformers began to talk of “trust-busting,” or breaking up the enormous concentrations of economic power, and finally the government stepped in. Regulatory legislation was passed in the form of the Sherman Antitrust Act of 1890, prohibiting monopolistic activities in restraint of trade, and later the Federal Trade Commission Act of 1914 was passed, prohibiting unfair competition.

目前，大公司约占所有企业的20%，但其销售额却几乎占所有企业收入的90%。这种高度的产业集中度被称为寡头垄断。寡头垄断的利弊在经济学家和媒体中持续争论。一方面，那些维护大公司规模和实力的人认为，现代科技进步需要精密的机器和专业人才团队来运作。只有大公司才能提供资助这些项目所需的巨额资金，因为它们有能力建设试验工厂、开展销售活动，并且更有能力承受失败。另一方面，批评者认为，大公司规模大、实力强使得小公司无法竞争，从而导致价格高昂、价格操纵和垄断。更大的危险可能是大公司通过利益集团和政治行动委员会（PAC；参见第16章）的成立而掌握的政治权力，这些政治权力可能为自身利益而改变政治决策过程。

At present, corporations represent about 20 percent of all businesses, but corporate sales represent almost 90 percent of all business revenues. This high industrial concentration is called oligopoly. The pros and cons of oligopoly continue to be debated among economists and in the media. On the one hand, those who defend the large size and power of the corporations argue that modern technological and scientific advances require sophisticated machinery and teams of specialized personnel to operate it. The tremendous outlays of capital necessary to finance such projects are available only from large corporations, which can afford pilot plants and sales campaigns and are better able to absorb failures. On the other hand, critics maintain that large size and great power make it impossible for smaller firms to compete, leading to high prices, price fixing, and monopoly. An even greater danger may be the political power that large corporations wield as a result of the creation of interest groups and political action committees (PACs; see Chapter 16), which may be able to alter the political decision-making process for their own benefit.

公司之所以强大，不仅是因为一些公司被允许发展到庞大的规模，还因为它们可以拥有其他公司的股票，从而获得过度的控制权。一家公司的执行官往往是其他公司董事会的成员，这种情况称为交叉董事，也会导致滥用。拥有公司一百股左右股份的小投资者在公司事务中实际上无能为力。另一方面，收入丰厚的公司高层管理人员却有能力购买大量股票。即使拥有不到 1% 的通用汽车公司股份，这样的股东实际上也能控制数百万美元。此外，一些公司能够从事不道德的行为，这些行为对高层管理人员有利可图，而对其员工和股东则造成经济损失。

Corporations are powerful not only because some have been allowed to grow to gigantic proportions but also because they can own stock in other corporations, giving them an inordinate amount of control. Executive officers in one corporation are frequently members of the board of directors of other corporations, a condition called interlocking directorates, which also can lead to abuse. The small investor who owns a hundred or so shares in a corporation is virtually powerless in corporate affairs. On the other hand, a well-paid top manager of a corporation can afford to purchase large blocks of stock. Owning even less than 1 percent of a corporation the size of General Motors may in effect allow such a shareholder to be in control of millions of dollars. In addition, some corporations are able to engage in unethical behavior that is profitable to top administrators and financially detrimental to their employees and shareholders.

企业的权力并非无人挑战，也并非铁板一块。商业周期和不可预见的事件可能会改变企业的强大地位。政府干预和消费者游说也会产生类似的效果。例如，政府曾对微软公司提起反垄断诉讼，试图确定其是否构成垄断。竞争对手的制造商指责微软利用其市场力量进行欺凌，以保护其在操作系统软件领域的垄断地位免受其他互联网软件的挑战。经济重心从制造业转移，以及全球竞争，近年来削弱了许多企业的权力。巨头们纷纷倒闭，但其他公司也纷纷崛起，取而代之。此外，2008年的经济衰退对汽车行业造成了极其惨淡的影响，以至于联邦政府不得不出手救助通用汽车和克莱斯勒，这两家曾经实力雄厚的公司如今却濒临破产。

The power of the corporations does not go unchallenged, nor is it monolithic. Business cycles and unforeseen events can alter the powerful status of a corporation. Government intervention and consumer lobbying have similar effects. The government, for instance, had instituted an antitrust suit against the Microsoft Corporation and tried to determine whether it was a monopoly. Rival manufacturers had accused Microsoft of using its market power to bully them to shield its monopoly in operating system software from the challenge of other Internet software. Shifts of the economy away from manufacturing, as well as global competition, have of late eroded the power of many corporate giants, but others have risen to take their place. In addition, the recession that struck in 2008 had such a dismal effect on the automobile industry that the federal government had to bail out General Motors and Chrysler, once powerful corporations that were about to go bankrupt.

从竞争到广告

From Competition to Advertising

企业的寡头垄断性质也改变了古典资本主义的理念：在自由市场中，消费者为王。在自由市场中，众多生产商通过提供低价优质产品来争夺消费者的生意。当少数几家公司占据了最大的市场份额时，竞争就变得毫无必要。相反，为了增加利润，企业会投入巨额广告费，希望以此吸引消费者购买与竞争对手基本相同的产品。

The oligopolistic nature of corporations has also changed the classical capitalist idea that the consumer is king in a free market, in which many producers compete for the consumer’s business by offering high quality at low prices. When a small number of corporations have a lion’s share of the market, there is little need for competition. Instead, to increase their profits, corporations spend large sums of money for advertising, hoping to sway the consumer into buying essentially the same products as the ones their competitors offer.

广告会制造出一种人为的需求，让人们对那些实际上并无需求的产品产生需求。任何逛过美国城市购物中心的人都知道，商店里琳琅满目的商品琳琅满目，其中很多根本无法满足人们的真正需求。然而，广告却能确保这些产品的需求被激发。公众被广告淹没，直到他们确信新产品不可或缺。制造企业用来增加利润的另一个策略是“计划报废”，即故意制造劣质产品，以便更频繁地更新换代。

Advertising creates an artificial demand for products for which there is no real need. Anyone who has strolled through the malls of American cities is aware of the myriad products displayed for sale in stores, many of which fill no conceivable need. Advertising ensures that a desire for those products is created nonetheless. The public is saturated with advertising until it becomes convinced that the new product is indispensable. Another ploy used by manufacturing corporations to increase their profits is planned obsolescence, which means that products are deliberately built shoddily so that they must be replaced more often.

广告作为一种增加消费的手段，取得了巨大的成功，以至于它本身就成为了一个利润丰厚的行业。资本主义社会的人们愿意在那些他们确信需要的、往往无关紧要的商品上花费远多于税收，而税收可以让政府提供急需的公共服务。这种情况促使一些批评资本主义这些方面的经济学家将资本主义社会的生活描述为私人富裕，公共贫困。他们说，例如，买得起好车的人可以买到，但对于无力支付私家车的人来说，公共交通系统却严重不足。然而，这只是故事的一个方面：政府在满足公共需求方面通常效率低下，资本主义意识形态使大多数人相信个人努力就能带来个人富裕；因此，他们不太关心公共需求。

Advertising has been immensely successful as a method of increasing consumption—so much so that it has become a profitable industry in its own right. People in capitalist societies are willing to spend much more money on the often frivolous goods they are convinced they need than on taxes, which would allow the government to provide much-needed public services. It is a situation that has prompted some economists critical of these facets of capitalism to describe life in capitalist societies as offering private affluence but public squalor. They say that, for instance, fine automobiles are available to those who can afford them, but mass transit systems for those who cannot pay for private automobiles are sorely inadequate. However, this is only one side of the story: government is generally ineffective in providing well for public needs, and the capitalist ideology has convinced most people that individual effort will bring them personal affluence; thus, they are less concerned about public needs.

多样化和跨国主义

Diversification and Multinationalism

无论好坏，道德与否，事实是大多数公司都试图扩大规模。他们实现这一目标的两种方式是多元化和跨国经营。多元化是指一家公司收购其他公司的控股权，这些公司通常涉及完全不同的行业。一家化妆品公司可能同时拥有一家电影制作公司（或一家公司的控股权）和另一家制药公司。多元化是兼并和收购的结果，其中一些兼并和收购未经被收购公司的批准。这种做法一直受到批评，因为它导致公司在不生产任何产品的情况下实现了增长。

Whether it is good or bad, ethical or unethical, the fact is that most corporations have attempted to become even larger. Two ways in which they have been doing so is through diversification and multinationalism. Diversification is a corporation’s acquisition of controlling shares in other corporations, often in totally different industries. A cosmetics company may also own a company—or a controlling share of a company—that produces movies and another that manufactures drugs. Diversification is a result of mergers and takeovers, some of which occur without the approval of the company being acquired. This procedure has been criticized because it results in the growth of a corporation without having to produce anything.

跨国主义指的是，一些公司并非仅仅将产品出口到国外，而是将生产流程本身转移到其他国家。将生产流程转移到国外对公司来说是成功的，因为那里的劳动力比美国更便宜，而且市场也得到了极大的扩展。因此，利润也随之增加。但美国工人以及最终的东道国都对这种做法心存疑虑。跨国公司，其利润往往超过东道国的国民预算。如此高的利润以及这些公司实际上控制着数千个工作岗位的事实赋予了它们过大的权力，使它们沦为剥削者。另一方面，事实证明，直接外国投资增加了对美国商品和服务的需求，并在国内创造了就业和财富。1992年至1995年间，此类直接投资增长了一倍多，因为世界大多数国家都在争夺美国资本来资助本国经济。即使是曾经坚决拒绝向美国开放市场的日本，也不得不做出让步，因为日本消费者想去麦当劳吃饭、在玩具反斗城购物、在盖璞购物。因此，尽管人们认为跨国主义是一种经济殖民主义，但美国企业的许多产品似乎都很受欢迎。美国公司已成为许多国家的榜样，它们派学生到美国大学学习商业方法和管理技能（Myerson，1995，E1，E14）。

Multinationalism refers to the fact that instead of merely exporting their products to foreign lands, some corporations move the production process itself into other countries. Moving the industrial process abroad is successful for corporations because labor is cheaper than in the United States and markets are vastly expanded. Therefore, profits increase. But both American workers and ultimately the host nations are suspicious of multinational corporations, whose profits are often greater than the national budgets of the host nations. Such profits and the fact that the corporations virtually control thousands of jobs give them excessive power, casting them in the light of exploiters. On the other hand, it has been shown that direct foreign investment raises demand for American goods and services and creates jobs and wealth at home. Such direct investment more than doubled in the years 1992 to 1995, as most of the world competed for American capital to finance their own economies. Even Japan, which had steadfastly refused to open its market to America, has had to relent because Japanese consumers want to eat at McDonald’s, buy at Toys ‘R’ Us, and shop at the Gap. It seems, then, that despite the feeling that multinationalism is a form of economic colonialism, many products of American business are very popular. American corporations have become models for many countries that send their students to learn business methods and management skills at American universities (Myerson, 1995, E1, E14).

跨国主义的一个副作用令美国人担忧，那就是越来越多的发展中国家已经精通大规模生产，而其工资水平远低于美国工人的需求。例如，美国的工资水平比台湾或韩国高出数倍，比墨西哥高出约七倍。中国的劳动力成本甚至更低，中国正在成为消费品的主要生产国（但那里的工人要求更高的工资，因此企业开始使用孟加拉国、越南和其他亚洲国家的劳动力）。在2008年至2011年左右的经济衰退期间，许多公司不得不裁员或聘用兼职员工，以较低的工资和极少的福利待遇。

A side effect of multinationalism that worries Americans is the fact that a growing number of developing nations have become proficient in mass production at much lower wages than American workers demand. For instance, U.S. wages are several times higher than Taiwan’s or South Korea’s and about seven times higher than Mexico’s. Even cheaper are labor costs in China, which is becoming a major producer of consumer goods (but workers are demanding higher wages there, so companies are using Bangladesh, Vietnam, and other Asian nations). During the recessionary period 2008–2011 or so, many companies had to lay off workers or used part-time workers at lower wages and few benefits.

工业社会中的工作本质

The Nature of Work in the Industrial Society

在所有社会中，除了最简单的社会，获取生存必需品意味着个人必须工作。工人受雇于经济的三个部门之一。第一产业涉及原材料的开采和加工，包括农业、渔业、采矿业和林业等活动。19世纪中叶，美国三分之二的劳动力受雇于第一产业。如今，只有3%的劳动力受雇于第一产业。

In all societies, except the very simplest ones, obtaining the necessities for survival has meant that individuals have had to work. Workers are employed in one of three sectors of the economy. The primary sector deals with the extraction and processing of raw materials and includes such activities as agriculture, fishing, mining, and forestry. In the mid-nineteenth century, two-thirds of the American labor force was employed in the primary sector. Today, only 3 percent are.

第二产业涉及制造和建设，即将原材料转化为成品，例如生产汽车、建造房屋或包装食品。美国在这一领域非常成功，其大部分财富都来自于此。事实上，我们的大型企业在这一领域发挥了重要作用，生产汽车、洗衣机、电子产品等等。

The secondary sector is concerned with manufacturing and constructing, or turning raw materials into finished products, such as producing automobiles, building homes, or packaging foods. The United States was very accomplished in this sector, deriving most of its wealth from work in it. Our large corporations in fact were instrumental in this sector, producing cars, washing machines, electronics, and so on.

第三产业占美国劳动力的 80%，涉及的服务包括汽车修理、房屋改造、教育提供或社会病人的治疗。

The tertiary sector, in which 80 percent of the American labor force is involved, involves services, such as repairing automobiles, remodeling homes, providing education, or healing the sick members of a society.

近来，我们开始意识到第四产业的存在，它涉及政府、文化、科学研究、高等教育和信息技术领域的智力活动。

Of late, we have become aware of a quaternary sector, which involves intellectual activities in government, culture, scientific research, higher education, and information technology.

一些经济学家会增加一个五元部门，其中包括处于最高决策层的个人——高层管理人员、政府官员、大学校长、顶尖科研人员以及卫生和媒体领域的杰出领袖。

Some economists would add a quinary sector, which would include individuals at the highest level of decision making—top executives, officials in government, university presidents, top scientific researchers, and prominent leaders in health and the media.

行业转移

Shifting Sectors

从历史上看，社会在工业化过程中会发生巨大的转变。在工业化的最初阶段，绝大多数工人受雇于第一产业。例如，在美国建国初期，几乎95%的农业从业人员数量庞大。需要这么多人才能为国家提供足够的粮食。到1900年，只有38%的劳动力从事农业。如今，只有不到2%的劳动力仍在从事农业。如今，农业效率极高，只需很少的人力就能为全国人口和出口种植出足够的粮食。

Historically, a dramatic switch has occurred when societies have become industrialized. In the first stages of industrialization, the large majority of workers are employed in the primary sector. As an example, in the early years of this country, almost 95 percent of workers were employed in agriculture. It took that many people to provide enough food for the nation. By 1900, only 38 percent of the workforce was in farming. Today, less than 2 percent is still engaged in farming. Farming is now so efficient that very few people are needed to grow enough food for the whole population and for export.

随着工业化的进程，就业岗位从一个部门转移到另一个部门。从世纪之交到本世纪中叶，第二产业稳步增长——从1900年的35.8%增长到1950年的40.3%。自1950年以来，第二产业的比重持续下降——从40.3%下降到1982年的30%，到1997年则降至20%以下。另一方面，第三产业则经历了惊人的增长——从1900年的26.6%增长到1975年的62.1%，截至2012年，其占GDP的比重接近80%。请参阅www.bls/gov/emp/ep_table_201.htm上的表格。显然，在工业化的最新阶段，绝大多数劳动者就业于经济的第三产业，通常称为服务业。相比之下，在第一和第二产业就业的蓝领工人从 1900 年的 37.6% 下降到 1975 年的 4.5% 和 2002 年的 13%。随着美国越来越多的制造业工作岗位流失到国外，这些行业的失业问题变得十分普遍且十分严重，我们将在本章后面和下一章中看到这一点。

As industrialization progresses, employment shifts from one sector to the next. From the turn of the century until the middle of it, the secondary sector showed a steady increase—from 35.8 percent in 1900 to 40.3 percent in 1950. As of 1950, the secondary sector has been declining—from 40.3 to 30 percent in 1982 and to below 20 percent as of 1997. The tertiary sector, on the other hand, has seen a spectacular spurt in growth—from 26.6 percent in 1900 to 62.1 percent in 1975 and almost 80 percent of GDP as of 2012. See the Tables at www.bls/gov/emp/ep_table_201.htm. Obviously, in this latest stage of industrialization, the great majority of workers are employed in the tertiary sector of the economy, commonly called the service sector. In contrast, blue-collar workers employed in the primary and secondary sectors shrunk from 37.6 percent in 1900 to 4.5 percent in 1975 and 13 percent in 2002. As the United States loses more of its manufacturing jobs to foreign countries, unemployment in these sectors is becoming endemic and very problematic, as we will see later in this chapter and in the next.

专业化

Professionalization

向第三产业的转变导致了职业结构的重要变化。越来越多的人成为专业人员、管理人员或技术人员，对非技术性或半技术性职业的需求减少。因此，阶层结构发生了变化，导致无法实现职业化的那部分人口长期失业。

The shift into the tertiary sector has resulted in important changes in the occupational structure. More people are becoming professionals, managers, or technicians, and there is less need for unskilled or semiskilled occupations. Consequently, there have been changes in the stratification system, causing chronic unemployment for the segment of the population that is unable to attain professionalization.

职业不仅仅是专门的职业。它们既需要理论知识，也需要艺术或科学方面的培训。木匠需要培训，而医生除了培训之外，还需要拥有丰富的理论知识。由于多年的专业经验，专业人士能够对其工作拥有很大的自主权。专业人士还会成立协会，规范其成员的资质，并维护一定的行为和道德准则。

Professions are more than specialized occupations. They require both theoretical knowledge and training in an art or a science. A carpenter needs training, but a physician needs to possess a body of theoretical knowledge in addition to training. Because of their long years of specialization, professionals are able to exert a great degree of autonomy over what they do. Professionals also establish associations that regulate the credentials of their members and maintain certain codes of behavior and ethics.

一些职业的声望持续上升，并且是第三产业中收入最高的职业。因此，任何与之相关的职业都呈现出职业化的趋势。职业化在前两个经济部门中并不十分成功，但在第三产业的白领阶层中却非常成功。

Professions have consistently increased in prestige and are the highest-paid occupations in the tertiary sector. As a result, there has been a tendency to professionalize any occupation that lends itself to it. Professionalization has not been very successful in the first two sectors of the economy, but it has been very successful among the white-collar workers of the tertiary sector.

企业官僚主义

The Corporate Bureaucracy

所有行业都在一定程度上体现出行政和行政管理的官僚体制，其中包括白领劳动力（第二产业还包括机器本身的使用者，即蓝领劳动力）。在第四章中，我们探讨了纯粹官僚体制的目标以及官僚体制在现实中的运作方式。在工业时代的鼎盛时期，企业官僚体制是一个金字塔，由以下部门组成。

All sectors, to a certain degree, display an executive and administrative bureaucracy including a white-collar labor force (the secondary sector also includes the wielders of the machines themselves, the blue-collar labor force). In Chapter 4, we saw the goals of a pure bureaucracy and the way a bureaucracy works in reality. At the height of the industrial era, the corporate bureaucracy was a pyramid consisting of the following divisions.

执行官

The Executive

首席执行官 (CEO) 必须能够打破所有可能阻碍职业生涯的情感束缚，必须具备包括自律、服从权威、情感和智力“冷静”、升华自我的能力等性格特征。拥有远期目标，并拥有非凡的雄心壮志和对成功的渴望。此外，这样的人必须具备克服潜在障碍的毅力，必须拥有高度的自信，并且能够快速做出决策，无论结果好坏，都必须坚持执行。

A chief executive officer (CEO) must be able to break all emotional bonds that might stand in the way of a career and must have personality traits that include self-discipline, ability to submit to authority, emotional and intellectual “cool,” the capacity to sublimate immediate goals for future benefits, and an unusual amount of ambition and desire for success. In addition, such a person has to possess an element of ruthlessness to overcome possible obstacles, must have a great deal of self-confidence, and must be able to make rapid decisions that are adhered to, for better or for worse.

尽管首席执行官必须插手组织的每个事务，但每个高管都必须履行三项一般职能：（1）制定组织政策；（2）确保组织与外部力量之间存在良好的关系；（3）负责工业工厂的运营和组织。

Although the CEO must keep one finger in every pot of the organization, there are three general functions that every executive must fulfill: (1) establish organizational policy, (2) see that favorable relations exist between the organization and outside forces, and (3) be in charge of the operation and organization of the industrial plant.

高管们付出的努力换来了丰厚的回报。普通工人的工资与首席执行官的平均工资之间的差距在不断扩大：1960年，这一差距是41倍；而1991年，这一差距是93倍（Kinsley, 1991, 41）。从1990年到2003年，首席执行官的薪酬上涨了313%，而企业利润上涨了128%。2013年，大型公司首席执行官的年薪是普通工人年薪的331倍。平均年薪总额为1130万美元，而2013年全职员工的中位数工资为35,293美元。首席执行官薪酬与普通员工薪酬的比较图表可参见：www.epi.org/publications/ceo-pay-continues-to-rise/。另请参阅：www.aflcio.org/Corporate-Watch/Paywatch-2014。

Top executives are extremely well remunerated for their efforts. The difference between the average worker’s salary and that of the average CEO is continually increasing: in 1960, it was a multiple of 41; in 1991, it was 93 (Kinsley, 1991, 41). From 1990 to 2003, CEO pay rose by 313 percent, and corporate profits rose by 128 percent. In 2013, chief executives of large companies made 331 times the average worker’s annual pay. This averaged to an annual total compensation of $11.3 million, whereas the median pay for full-time workers was $35,293 in 2013. A graph comparing the pay of CEOs against the pay of typical employees may be found at: www.epi.org/publications/ceo-pay-continues-to-rise/. See also: www.aflcio.org/Corporate-Watch/Paywatch-2014.

20世纪90年代，这些高管确实让公司盈利，创造了历史上最大的牛市之一，也让股东们赚得盆满钵满。在那些令人陶醉的日子里，一些CEO年薪上亿美元并不罕见。然而，从2000年开始，经济放缓，股市下跌，有些甚至大幅下跌。股东平均损失了12%的投资组合，而首席执行官的薪酬和奖金平均上涨了22%。即使在2007-2008年开始的经济衰退之后，CEO们的收入损失也非常小。另一方面，一些投资银行和保险巨头倒闭，不得不接受联邦政府的救助，导致大量工人失业，并加重了纳税人的负担。

In the 1990s, the executives did make their companies profitable, creating one of history’s greatest bull markets and so enriching their shareholders. During those heady days, it was not unusual for some CEOs to earn $100 million in a year. Beginning in 2000, however, the economy slowed and stocks fell, some drastically. While shareholders lost an average 12 percent of their portfolios, chief executives received an average 22 percent raise in salary and bonuses. Even following the recession that began in 2007–2008, CEOs suffered very little in terms of losing income. On the other hand, a number of investment banks and insurance giants failed and had to be bailed out by the federal government, resulting in the loss of jobs for a large number of workers, and a burden for taxpayers.

美国CEO的丰厚薪酬引发了诸多争议，尤其是在全球经济催生出越来越多的美国公司与外国公司并购的情况下。一些经济学家认为，美式薪酬是促进经济表现的一种机制。另一些经济学家则认为，高额的薪酬工资和福利，特别是与其他国家相比，导致贪婪和过度行为的增加。

The generosity with which American CEOs are rewarded has created a lot of controversy, especially as the global economy spawns an increasing number of mergers between American and foreign companies. Some economists perceive American-style pay as a mechanism for jump-starting economic performance. Other economists view the high salaries and perks, especially in comparison to those paid by other nations, as leading to increasing greed and excess.

表 17.1 10 位薪酬最高的 CEO

TABLE 17.1 10 Highest Paid CEOs

资料来源：信息取自美国劳工联合会和产业工会联合会www.aflcio.org/Corporate-Watch/Paywatch-2014/100-Highest-Paid-CEOs

Source: Information obtained from AFL-CIO www.aflcio.org/Corporate-Watch/Paywatch-2014/100-Highest-Paid-CEOs

美式管理模式有利有弊。高薪往往会使CEO与下属，甚至与广大公众疏远，从而导致一些错误的决策。例如，美国汽车业失去了大量的全球市场份额，主要被日本汽车公司抢占，因为它一直在生产公众不再需要的汽车。另一方面，贪婪是一种巨大的驱动力，可能会激励CEO取得非凡的业绩。

The American form of management has both advantages and disadvantages. The high salaries tend to isolate the CEO from subordinates, and even from the public at large, leading to some wrong decisions. The American automobile industry, for instance, lost a large amount of world market share, mainly to the Japanese, because it kept producing automobiles that the public no longer wanted. On the other hand, greed is a tremendous motivating force and may spur CEOs to extraordinary performance.

在企业管理者和实际生产产品的产业工人之间，我们发现了工业官僚体系中层的巨大空缺，其中包括执行副总裁、专家、办公室职员和主管。事实证明，在新经济时代，这一层级是最不合时宜的，很可能会被逐步淘汰。

Between the position of corporate managers and that of the industrial workers who actually produce the goods, we find the vast limbo of the middle section of the industrial bureaucracy, consisting of executive vice presidents, specialists, office workers, and supervisors. This rung of the hierarchy is proving to be the most obsolete in the new economic era and will probably be gradually phased out.

产业工人

Industrial Workers

工业体系中企业官僚体系的最后一类人是那些真正推动体系运转的人，即产业工人，或称蓝领工人。这类工人的演变方式颇为有趣，目前正处于关键的发展阶段。趋势表明，他们必须转型成为一支技能更精湛、自动化程度更高、更负责任、更具创造力的劳动力队伍。

The last group in the corporate bureaucracy of the industrial system consists of those who actually turn the wheels of the system, the industrial, or blue-collar, workers. This class of workers evolved in an interesting way, and they are currently at a critical stage of development. Trends point to the necessity of their transformation into a more skilled, automated, responsible, and creative workforce.

在工业化带来变革之前，西方社会大多数人生活和工作在农场。这是一种勉强维持生计的生活方式，除了那些能够负担教育费用并享受超越纯粹体力劳动的爱好的地主。当然，社会也需要工匠和手艺人：能够制鞋、缝制衣服、制作家具以及使用石材和金属的人。这些人在社会阶层体系中的地位比耕作土地的农民更高，更有才华的人甚至获得了我们现在所说的“艺术家”的称号。到了十世纪，这些人组织起来，组成了各种各样的行会（工会），其中商人和手工艺行会主要以经济为目标。

Before the changes introduced by industrialization, most people in Western societies lived and worked on farms. It was a subsistence type of livelihood, except for the landowners, who could afford education and interests that went beyond sheer physical labor. Of course, societies also needed craftspeople and artisans: individuals who could make shoes, sew clothing, make furniture, and work in stone and metals. These individuals had a loftier position in the stratification system than the peasants who worked the soil, and the more talented acquired fame as what we would now call artists. By the tenth century, such individuals were organizing themselves into a variety of guilds (kinds of labor unions), of which the merchant and craft guilds had mostly economic objectives.

手工艺行会是由特定领域的工匠建立的职业协会。行会限制成员资格，要求工匠必须经过一段时间的学徒期才能成为熟练工。反过来，熟练工必须完成一件“杰作”才能被评为工匠大师。在行会制度下，学徒会被带到师傅家中，与师傅一家人一起享用衣食。尽管学徒可能会遭受剥削，甚至挨饿（取决于师傅的性格和境遇），但他们仍然感到受到保护，所有需求都会得到满足。

Craft guilds were occupational associations established by the artisans in specific fields. The guilds restricted membership, requiring an apprenticeship period before an artisan could become a journeyman. In turn, the journeyman had to produce a “masterpiece” before he could be judged a master craftsman. In the guild system, an apprentice was taken into his master’s home and clothed and fed along with the master’s family. Though apprentices may have been exploited and may have gone hungry (depending on the master’s personality and circumstances), they were made to feel protected, and all their needs were provided for.

在工业化的早期阶段，工作都是在家中完成的，商人提供原材料并支付成品费用。这种制度被称为家庭作坊制或外包制。尽管面临着增加产量的压力，但工人们仍然基本上掌控着工作方式和时间，自行安排工作时间，并雇佣家庭成员或学徒作为助手。此外，他们还可以自由耕种土地以获取额外收入。在行会制和家庭作坊制中，个体工匠首先生产整套产品，后来又生产了整个生产过程。他们能够亲眼看到自己制作的产品，并为出色的工作感到自豪。

In the early stages of industrialization, work was done in the home, with merchants providing the raw material and paying for the finished product. This system was called the cottage or putting-out system. Although there was pressure to produce more, the workers remained basically in control of how and when to work, establishing their own hours and employing members of their family or apprentices as helpers. In addition, they were free to cultivate plots of land for additional revenue. In both the guild and the cottage systems, individual artisans produced the whole product and later an entire facet of the production process. They could see what they were making and could feel pride in a job well done.

工厂系统

The Factory System

工厂制度，工业进步的下一步，改变了这一切。工人们被赶进一座中央大楼，与数十或数百人一起。他们被明确告知在特定时间内要生产多少，何时上班，什么时候回家？工作时间很长（每天工作12到14个小时并不罕见），环境恶劣——缺乏最原始的卫生设施——而且工资微薄。全家从农村被拖到肮脏拥挤的城市，不得不开动机器才能勉强维持微薄的生计。

The factory system, the next step in the progress of industry, changed all that. Workers were herded into a central building together with tens or hundreds of others. They were told exactly how much to produce in a specific amount of time, when to come to work, when to go home. The hours were long (a 12- or 14-hour day was not unusual), the environment was unpleasant—lacking in the most primitive hygiene facilities—and the pay was minimal. The entire family, dragged from a rural locale to the dirty and crowded city, found that it had to run the machines to eke out a meager livelihood.

然而，最重要的是工人生产方式的改变。工人不再负责整件产品，而是整天重复着同样的例行操作，而且往往不真正理解这些操作与成品之间的关系。

Most important, however, was the change in how a worker produced goods. No longer responsible for the whole article, each worker now repeated the same routine action endlessly all day, often without really understanding its relation to the finished product.

雇员与雇主之间的关系也发生了剧烈变化。雇主如今已成为生产资料的所有者，用马克思主义的术语来说，就是“资产阶级”，而雇员则属于“无产阶级”，或者说产业工人。雇主对雇员不再承担任何道德义务或责任，在经济不景气时，他们毫不犹豫地解雇或开除工人。他们只不过是工资单上的名字，不像过去师傅手下的学徒。工厂的工作条件开始变得冷漠无情、默默无闻，这些特点一直延续至今。

The relationship between employee and employer also underwent a drastic change. The employer was now among the owners of the means of production, the “bourgeoisie” in Marxist terms, and the employee was a member of the “proletariat,” or industrial workers. The employer felt no moral obligation or responsibility toward the employees and in a business slump had no qualms about firing or laying off workers. They were no more than names in a payroll ledger, unlike the apprentices to a master craftsman of former times. Working conditions in factories began to be characterized by impersonality and anonymity, features that persist to the present.

与此同时，城市中心的条件令人震惊。工人们再也无法通过打猎或种植来维持生计。在资本主义早期，企业主和管理者能够积累财富，不受政府监管的阻碍，但这些财富中只有很少一部分流向了工人。工人的工资似乎总是落后于物价上涨，迫使他们生活在恶劣的条件下。他们得不到医疗保障，即使是在当时不安全的工厂里发生的无数次工伤事故中，他们也没有医疗保障。最严重的创伤是工人们完全缺乏安全保障。资本主义制度不稳定，容易受到深度商业周期的影响，工人们永远不知道自己何时会被解雇。

Conditions in the urban centers, meanwhile, were appalling. Workers could no longer supplement their livelihood by hunting or growing things. The owners and managers of industry were able to amass fortunes in those early days of capitalism, unhampered by government regulations, but not much of this wealth trickled down to the workers. The workers’ wages always seemed to lag behind prices, forcing them to live in substandard conditions. They had no medical care, even for the numerous industrial accidents that occurred in the unsafe factories of the day. The worst trauma of all was the complete lack of security that workers experienced. The capitalistic system was unstable and subject to deep business cycles, and workers never knew when they would be laid off.

工人们不可避免地意识到，他们必须组织起来，任何个人或偶然事件都无法消除他们所处的困境和不公。他们唯一的救赎在于目标的统一。然而，直到20世纪，建立有组织的、和平的劳资关系的目标才得以实现。

Inevitably, workers realized that they must organize, that no individual or chance circumstance would eliminate the hardships and injustices of their condition. Their only salvation lay in unity of purpose. However, it was not until the twentieth century that the goal of organized and peaceful industrial relations was reached.

美国劳工运动

The American Labor Movement

内战前，美国工人只是偶尔尝试组织起来。全国性劳工组织的建立发生在内战之后，直至大萧条时期罗斯福新政出台。这是一场艰苦的斗争：为了集体谈判而团结全国的努力面临着重重障碍。

Workers in the United States had made only sporadic attempts at organization before the Civil War. The establishment of national labor organizations occurred in the period following the Civil War and up to Roosevelt’s New Deal during the Great Depression. It was a difficult struggle: the effort to join together nationally for the purpose of collective bargaining had many obstacles to overcome.

在早期的美国，工人曾是稀缺资源，但日益增长的机械化正在取代工匠和技术工人。随着公司规模的扩大，工业集中度的不断提高以及所有权与经营权的分离，产生了一种匿名感，摧毁了人们的忠诚感。随之而来的非人性化导致所有相关人员都对自身漠不关心。美国劳动力构成复杂，代表着不同的民族、文化、宗教和种族背景，这些背景通常彼此不相容且相互猜疑。此外，美国工人并不敏锐地意识到自己作为一个社会阶层的地位。他们相信“无限机会”的意识形态，并将自己的地位视为过渡，仅仅是他们通往财富和权力的阶梯。因此，他们不愿组织成一个他们认为很快就会被抛弃的群体。最后，联邦政府体制阻碍了有效的组织：如果工人在一个州组织起来，相关的行业就会转移到另一个州。当时的氛围对劳工也十分不利。当时的英雄是那些工业巨头，他们白手起家的故事让公众着迷。

Workers had been a scarce commodity in the early United States, but increasing mechanization was displacing artisans and skilled workers. The growing concentration of industry and the separation of ownership from the management of industry with the growth of the corporation produced feelings of anonymity and destroyed feelings of loyalty. The consequent depersonalization led to an indifferent attitude on the part of all concerned. The American labor force was a heterogeneous lot, representing different ethnic, cultural, religious, and racial backgrounds that were usually mutually incompatible and suspicious of each other. In addition, American workers were not keenly aware of their status as a social class. They believed the ideology of unlimited opportunity and viewed their status as transitional, only a step in their ascent to riches and power. Thus, they were unwilling to organize into a group they thought they would soon abandon. Finally, the federal system of government stood in the way of effective organization: if workers organized in one state, the industry involved would move to another. The mood of the day was inimical to labor, too. The heroes of the day were the captains of industry, whose rags-to-riches stories fascinated the public.

尽管面临这些障碍，工人们还是在 1869 年组织起来成立了劳工骑士团，后来在 1886 年成立了美国劳工联合会 (AFL)。在塞缪尔·龚帕斯的领导下，AFL 不断发展壮大，到 1920 年，500 万工会工人中有 400 万是 AFL 的成员。在早期，AFL 主要致力于组织技术工人，因此其大多数成员工会都是行业工会。在行业工会或横向工会中，每种技能都被组织成一个单独的实体。例如，建筑行业的工人分为木工、水管工、泥瓦匠和油漆工，每个工种都有自己的工会。工会组织形式的相反代表是全美矿工联合会，他们属于行业工会或纵向工会。在这种形式下，所有工人都被组织成一个工会，无论他们在各自行业中从事什么工作。一位致力于工业工会、被历史铭记为劳工英雄的劳工领袖就是全美汽车工人联合会主席沃尔特·鲁瑟。

Despite these obstacles, in 1869 workers organized themselves into the Knights of Labor and later, in 1886, into the American Federation of Labor (AFL). Under the leadership of Samuel Gompers, the AFL grew, and by 1920, 4 of the 5 million unionized workers were members of the AFL. In its early days, the AFL was interested principally in organizing skilled workers, so most of its member unions were craft unions. In a craft, or horizontal, union, each skill is organized into a separate entity. The workers in the building industry, for instance, are divided into carpenters, plumbers, bricklayers, and painters, and each group has its own union. The opposite form of union organization is represented by the United Mine Workers, who belong to an industrial, or vertical, union. In this form, all the workers are organized into one union, regardless of the tasks they perform in their industry. One labor leader committed to the industrial type of union who has come down in history as a hero of labor was the president of the United Auto Workers, Walter Reuther.

尽管政府最初支持企业反对工会化，但最终通过的法律被解读为政府承认工人有权组织和加入工会。在富兰克林·德拉诺·罗斯福总统任期内，也就是美国历史上经济活动最糟糕的时期之一，工会化受到鼓励，因为人们认为工会化可以通过提高工资赋予工人额外的购买力，从而刺激停滞的经济。1933年的《国家工业复兴法》禁止雇主干预工会化进程，并对干预工人组织的行为规定了法律制裁。几年后，《瓦格纳法》取代了这项立法。紧随《瓦格纳法》中保护工人的条款之后的是1935年的《社会保障法》。这项立法显然是政府试图缓解产业工人命运中存在的不安全感的尝试，也表明了政府对公共福利的关注。

Although initially the government supported the opposition of business to unionization, eventually laws were passed that were interpreted as an admission on the part of government that workers had the right to organize and join unions. During the presidency of Franklin Delano Roosevelt, one of the worst periods of economic activity in the history of the United States, unionization was encouraged because it was thought that it would give workers additional purchasing power—through higher wages—and, thus, stimulate the stagnant economy. The National Industrial Recovery Act of 1933, which prohibited employers from interfering with the process of unionization, provided legal sanctions against those who interfered with worker organizations. This legislation was superseded by the Wagner Act of a few years later. The provisions for the protection of the workers encompassed in the Wagner Act were closely followed by the Social Security Act of 1935. This last piece of legislation was a clear attempt on the part of the government to alleviate the insecurity associated with the lot of the industrial worker, and it signaled an attitude of concern for public welfare.

集体谈判

Collective Bargaining

工会为工人履行的最基本职能是集体谈判。这一程序已成为我们社会公认的制度。尽管劳资冲突时有发生，但大多数解决方案都是在集体谈判的框架内进行的。集体谈判的某些方面每天都在运用，工人们通过所谓的申诉程序表达他们的不满。这些程序通常需要由工人选举产生的车间代表或主席提供服务，他们享有一定程度的免于被解雇的豁免权，以保持对工人的忠诚。车间代表的存在极大地缓解了主管和老板权力过大、专制的问题，并有助于解释大规模生产行业中大规模工会化现象的发生。

The most fundamental function that the union performs for the worker is collective bargaining. This process has become an accepted institution in our society. Although conflicts between labor and management crop up periodically, most solutions take place within the framework of collective bargaining. Some aspects of collective bargaining are employed every day, as workers air their complaints through what are called grievance procedures. These procedures generally involve the services of a shop steward or chairperson elected by the workers, who is given a degree of immunity from layoffs to remain loyal to the workers. The presence of the shop steward has done much to alleviate the problem of powerful and authoritarian supervisors and bosses and helps explain the tremendous unionization that has occurred in the mass-production industries.

集体谈判也受到许多白领阶层的欢迎，例如教师和公共部门工作人员——即为州、县和地方政府工作的人员。集体谈判的结果是，这些行业确保员工获得公平的薪酬以及医疗保险和养老金等福利（员工需缴纳这两项福利，但雇主会提供补贴）。目前，一些预算短缺的州已决定取消集体谈判，使员工丧失了谈判权。

Collective bargaining was also embraced by many white-collar workers such as teachers and workers in public jobs—that is, persons who work for states, counties, and local governments. As a result of collective bargaining, these occupations ensured that employees received fair remuneration and such benefits as health insurance and pensions (employees contributed to both but were helped by their employers). At present, a number of states that have been experiencing a shortfall in their budgets have decided to eliminate collective bargaining, leaving their employees without the right to bargain.

当今的劳工运动

The Labor Movement Today

与社会其他领域一样，工会组织也难免存在冲突和问题。它与大企业和大政府一样，饱受同样的弊病困扰。工会领导层有时腐败，以牺牲其所代表的工人利益为代价，谋求权力和经济利益。因此，政府不得不采取措施，干预工会事务。

Like other sectors of society, organized labor is not free from strife and problems. It suffers from the same ailments as big business and big government. Its leadership has at times been corrupt, seeking power and financial perks at the expense of the workers it represents. Consequently, the government has had to take steps and intervene in its affairs.

2014年，约有11.1%的受雇工薪阶层（约1460万人）加入或由工会代表。关于具体人数和工会组织，请访问：www.bls.gov/news.release/union2nr0.htm，以及以下表格：www.bls.gov/news/release/union2.htm。

In 2014, around 11.1 percent of employed wage and salary workers—about 14.6 million persons—belonged to or were represented by unions. For specifics about how many belonged to which unions, see: www.bls.gov/news.release/union2nr0.htm, and the Tables following: www.bls.gov/news/release/union2.htm.

工会主义的衰落

Decline of Unionism

自1965年以来，私营部门的工会化程度有所下降，而公共部门的工会数量则有所增长。工会会员人数在20世纪50年代中期达到总劳动力的近25%后，已下降至目前的11%。造成这种下降的原因有很多。尽管大规模生产、重工业、交通运输、公用事业和建筑业仍然高度工会化，但正如我们在讨论开始时所看到的那样，这些经济部门的就业岗位正在减少。国内产出已从工会化程度较高的制造业转向工会化程度较低的服务业。专业、技术工人和白领工人除了认同管理层外，通常还能享受与蓝领工人相同的工资增长。在贸易和服务行业，员工分布过于分散，难以有效建立工会，专业和技术工人倾向于加入专业协会而不是工会。此外，过去几十年来，劳动力队伍大幅增加，其中女性、兼职工人和年轻人的人数也显著增加。这些群体很难组建工会，因为他们往往频繁跳槽。此外，消费者更青睐价格更低的外国制造产品，而汽车和钢铁等行业的外国竞争进一步减少了工会劳动力。

The degree of unionization in the private sector has declined since 1965, while union growth in the public sector has increased. After reaching a membership of almost 25 percent of the total workforce in the mid-1950s, union membership has declined to the current 11 percent. There are a number of reasons for this decline. Although mass production, heavy industry, transportation, public utilities, and construction remain heavily unionized, jobs in this sector of the economy are declining, as we saw at the beginning of this discussion. Domestic output has been changing from manufactured goods, industries that were heavily unionized, to services, which were sparsely unionized. Professional, technical, and white-collar workers, besides identifying with management, usually benefit from the same wage increases as their blue-collar counterparts. In the trade and service industries, employees are too diffused in location for effective unionization, and professional and technical workers are inclined to join professional associations instead of labor unions. In addition, a substantial increase in the labor force within the past several decades has consisted of women, part-time workers, and young people. These groups are difficult to unionize because they tend to change jobs fairly frequently. In addition, consumer demand has favored foreign-manufactured goods, which are cheaper, and foreign competition in industries such as automobiles and steel has further reduced the unionized workforce.

工会的领导层或许是工会衰落的另一个因素。敬业的员工越来越少，官僚主义盛行，他们对组织运作的兴趣远大于招募新成员。一些工会领袖与有组织犯罪的联系，给所有工会组织带来了坏名声。最后，工会衰落的部分原因或许在于其自身的成功：工会能够获得比非工会工人更大的工资优势。因此，工会促使许多雇主使用非工会工人，或将工厂迁往美国工会化程度较低的地区（例如南部和西南部）以及海外。简而言之，工会在提高工资方面的成功可能最终影响了工会部门相对于非工会部门的就业机会。这或许可以解释一些工人投票选择不加入工会的情况。

The leadership of organized labor may be a further factor in the decline of labor unions. There are fewer dedicated individuals and more bureaucrats who display a greater interest in running the organization than in recruiting new members. A number of labor leaders gave all organized labor a bad name by their ties to organized crime. Finally, it may be that part of the reason for the unions’ decline is their success: unions were able to gain sizable wage advantages over nonunion workers. Hence, they prompted many employers to use nonunion labor or to move plants to regions of the United States that were not heavily unionized (such as the South and Southwest) and abroad. In short, their success in raising wages may have ultimately affected the employment opportunities in the union sector as against the nonunion sector. That may explain instances in which workers themselves voted to remain nonunionized.

美国劳工与全球经济

American Labor and the Global Economy

美国劳动力面临巨大挑战。向第三产业的转型本应将经济从肮脏的重工业转向干净明亮的办公室。然而，并非所有工人都能顺利完成这一转型。过去十年新增就业岗位中，88%来自服务业。该行业的工资远低于制造业的平均工资。与此同时，非技术工人，尤其是那些甚至没有高中文凭的人，失业率很高，尽管与其他国家相比，这一比例相当低。事实上，不同类型的工种、不同的行业、不同的地区，工人的工资存在巨大差异。技能最低的工人的工资停滞不前，甚至有所下降，而受教育程度更高、技能水平更高的工人的收入却有所提高。这导致收入差距不断扩大，实际上正在扼杀“美国梦”，即工薪阶层跻身中产阶级、过上舒适生活的能力。造成这种收入差距的原因有很多。

The American workforce faces great challenges. The transition into the tertiary sector was supposed to move the economy from dirty, heavy industry to clean, well-lit offices. Not all workers, however, made this transition smoothly. Of all new jobs created in the past decade, 88 percent were in the service industries. Wages in this sector have been well below average manufacturing wages. At the same time, unskilled workers, particularly those lacking even a high school diploma, experience high unemployment, even though that rate has been fairly low compared to rates in other countries. In reality, there are vast differences among workers in different types of jobs, in different industries, and in different regions of the country. The pay of the least-skilled workers has stagnated or actually declined, whereas workers with more education and skills have enjoyed increased earnings. This is creating a widening gap in incomes and is effectively killing the “American dream,” or the ability of working-class people to enter the middle class and a comfortable standard of living. There are a number of reasons for this income gap.

图片 17.5当今美国的工厂制度与过去有很大不同，但流水线仍然是其主要的生产方式。

IMAGE 17.5 The factory system in the United States today is quite different from what it was in the past, but the assembly line is still its chief method of production.

iStock：© RainerPlendl

iStock: © RainerPlendl

生产率是指工人在给定小时内产出的美元数量。工人可能使用计算机、复杂机械、锤子和扳手、电话，或者大脑和双手。工人可以单独工作，也可以团队工作，还可以在装配线上工作。重要的是，经济要繁荣，就需要提高生产率。从十九世纪末到二十世纪七十年代左右，技术创新带来了如此高的生产率。随着生产率的提高，美国工人的工资也随之上涨，使他们能够负担得起私人住房、每户家庭一辆以上的汽车以及子女的大学教育。然而，在二十世纪七十年代，生产率开始下降。1948 年至 1966 年期间，年生产率增长率为 3.2%，而 1990 年至 1997 年期间下降到 1.2%。劳动生产率的放缓是一个全球现象，但美国的放缓程度高于其他工业化国家。这是美国工资停滞的一个因素。

Productivity is the amount, in dollars, that a worker produces in a given hour. The worker could be using computers, or complex machinery, or a hammer and wrench, or a telephone, or one’s brain and hands. A worker can be working alone or in a team or on an assembly line. The important thing is that to flourish, an economy needs to have rising productivity. Technological innovations produced such rising productivity from about the end of the nineteenth century to about the 1970s. In tandem with productivity, the pay of American workers rose, so that they could afford private housing, more than one vehicle per family, and a college education for their children. In the 1970s, however, productivity began to decline. Where the annual productivity growth rate had been 3.2 percent in the period 1948–1966, it had declined to 1.2 percent in the period 1990–1997. The slowing of labor productivity was a worldwide phenomenon, but it had been greater in the United States than in other industrialized countries. It has been one factor in the stagnation of American paychecks.

此外，20世纪80年代，来自欧洲和亚洲的竞争严重威胁着美国作为世界经济领袖的惯有地位。多年来，美国一直沉溺于过度消费、低国民储蓄以及生产力下降的泥潭。许多美国工厂老旧低效。如果企业要重建这些工厂，将耗资巨大。再加上如果只雇用有组织的劳动力，其成本将阻碍这些公司在世界市场上的竞争。

In addition, America’s accustomed role as the world’s economic leader was seriously threatened by competition from Europe and Asia in the 1980s. The United States had for years indulged in excessive consumption and low national savings, as well as decreased productivity. Many American plants were old and inefficient. If corporations were to rebuild these plants, it would be at a tremendous cost. Coupled with the expense of employing only organized labor, the cost would prevent these corporations from competing in a world market.

美国公司通过两种方式解决了这些挑战。首先，他们采用了一些外科手术，比如重新设计他们的工作。他们通过裁员削减成本，或者通过雇用兼职或临时工来使用廉价劳动力。他们采用了新技术和管理风格。许多公司改变了经营方式，以便与新兴的高科技同步发展。其次，他们在新的地方寻找潜在市场。这通常包括将制造业转移到国外，或全球采购。全球采购创造了世界资本市场，这意味着公司可以在世界任何地方建厂，只要那里成本最低，或者工人技术最熟练。在过去的几十年里，美国公司在海外的资本投资增幅远远高于其在国内的投资。美国公司的海外业务每年的销售额超过 1 万亿美元。1989 年至 1990 年间，美国公司在美国赚取的利润下降了 21%，但美国公司的海外利润却飙升了 15%。换句话说，美国公司发现，通过在国外生产产品、使用比美国工人更廉价、更熟练的劳动力以及直接在世界市场上销售产品，他们可以获取更高的利润。

American corporations solved these challenges in two ways. First, they used some surgical procedures, such as reengineering their work. They cut costs by laying off employees or used cheaper labor by employing part-time or temporary workers. They adopted new technologies and management styles. Many shifted their way of doing business to be more in step with the emerging high technologies. Second, they sought potential markets in new places. Often this included moving manufacturing abroad, or global sourcing. Global sourcing allows the creation of world capital markets, meaning that companies can build plants anywhere in the world, wherever it is cheapest or where the workers are the best skilled. Over the last several decades, the capital investments of American firms abroad grew by a much higher percentage than their domestic investments. Foreign operation of American-owned firms accounted for more than $1 trillion in sales per year. Profits earned by American firms in the United States dropped by 21 percent between 1989 and 1990, but the overseas profits of American-owned firms surged by 15 percent. In other words, American firms had discovered that they could make higher profits by producing their goods abroad, using cheap and more skilled labor than American workers, and selling products directly on the world market.

如今，美国经济与其他国家的经济通过一系列所谓的流动联系在一起。一是商品和服务流动，也称为贸易流动，指美国向其他国家出口商品和服务，并从其他国家进口商品和服务。资本和劳动力流动，也称为资源流动，指美国公司在国外建立生产设施，外国公司也在美国建立生产设施。同时，劳动力流动也指每年大量工人移民到美国，而一些美国工人也移居到其他国家工作。信息和技术流动是指美国向其他国家传递信息，并从其他国家接收有关产品、价格、投资机会、利率等方面的信息。同样，美国创造的技术在其他国家得到应用，美国公司也使用国外开发的技术。最后，在金融流动中，资金在美国和其他国家之间转移，用于支付进口款项、购买资产、支付债务利息以及提供对外援助等目的。

Today, the American economy and the economies of other nations are linked by a number of so-called flows. One is the goods and services flow, also called trade flow, by which is meant that the United States exports goods and services to other nations and imports goods and services from other nations. Capital and labor flow, also called resource flow, means that American firms establish production facilities in foreign countries, and foreign firms establish production facilities in the United States. At the same time, labor also flows, in that many workers immigrate into the United States every year, and some American workers move to other countries to work. Information and technology flows refer to the fact that the United States transmits information to other countries and receives information from other countries regarding products, prices, investment opportunities, interest rates, etc. Similarly, technology created in the United States is used in other countries, and American firms use technology developed abroad. Finally, in financial flows, money is transferred between the United States and other countries for such purposes as paying for imports, buying assets, paying interest on debt, and providing for foreign aid.

如上所述，过去几十年来，这些贸易往来的规模大幅增加。国际贸易额的增长对其他国家来说更为显著，但美国也从进出口的增长中获益，并因此保持了世界领先贸易国的地位。然而，由于石油和消费品进口量巨大，美国自20世纪70年代末以来一直存在贸易逆差。2014年，我们的贸易逆差额达到历史最高水平之一，从359亿美元增至514亿美元。详情请参阅：www.tradingeconomics.com/united-states/balance-of/trade；以及：www.bea.gov/newsreleases/international/trade/tradnewsrealease.htm。

As noted, the extent of these flows has greatly increased in the past several decades. Such an increase in the volume of international trade has been more significant for other countries, but the United States has also profited from the growth of exports and imports, allowing the nation to remain the world’s leading trading nation. However, the United States has been running trade deficits since the late 1970s, due to the high amount of imports of oil and consumer products. In 2014, we experienced one of the highest trade deficits, from $35.9 billion to $51.4 billion. See: www.tradingeconomics.com/united-states/balance-of/trade; and: www.bea.gov/newsreleases/international/trade/tradnewsrealease.htm.

我们进口和出口的部分商品相同，例如汽车、计算机、化学品、电信设备和半导体。商品和服务的进出口主要发生在其他工业国家，而非发展中国家，我们最重要的贸易伙伴是加拿大。

We import some of the same goods that we export, that is, automobiles, computers, chemicals, telecommunications equipment, and semiconductors. The import and export of goods and services occurs with other industrial nations rather than with developing nations, and our most important trading partner is Canada.

国际贸易和开放型经济使美国能够实现专业化，即专注于产品可出口的行业，而非产品可进口的行业。这种国际范围内的专业化分工提高了国家的生产力，从而提高了生活水平。尽管如此，无论是政府、个人还是利益集团，都并非总是支持自由贸易。

International trade and an open economy allow the United States to specialize, that is, to focus on industries whose products are exportable and away from industries whose products can be imported. This kind of specialization on an international scale increases the productivity of the nation and, thus, its standard of living. Despite this reality, neither governments nor individuals or special-interest groups are always in favor of free trade.

各国政府历来会实施各种保护性关税、进口配额、许可证要求和出口补贴，试图阻碍进口并促进出口。政府设置这些自由贸易壁垒，通常是为了应对国内产业的政治压力，因为这些产业暂时受到了自由贸易的冲击。保护主义对部分劳动力和产业有利，但经济学家认为，只有贸易畅通无阻，消费者和整个国家才能受益。

Governments have traditionally imposed a variety of protective tariffs, import quotas, licensing requirements, and export subsidies in attempts to impede imports and boost exports. Governments impose these barriers to free trade usually in response to political pressures by domestic industries, which are temporarily hurt by free trade. Protectionism plays well with some segments of the labor force and industry, but economists maintain that consumers and the entire nation are better served when trade remains unimpeded.

全球趋势是减少保护性关税和其他障碍。许多国家已达成协议以减少贸易壁垒。其中最重要的协议包括关税与贸易总协定（GATT）和世界贸易组织（WTO），它们都对世界贸易自由化起到了积极作用。然而，WTO 一直备受争议，批评人士担心，为扩大国际贸易和投资而制定的规则会导致企业规避国家法律，尤其是那些保护工人和环境的法律。

The trend around the world has been toward a decrease in protective tariffs and other impediments. Many nations have entered into agreements to reduce trade barriers. Among the most important ones are the General Agreement on Tariffs and Trade (GATT) and the World Trade Organization (WTO), both of which have been positive forces in liberalizing world trade. The WTO, however, has been a source of controversy in that critics are worried that the rules established to expand international trade and investment will lead firms to evade national laws, especially those that protect workers and the environment.

各国寻求减少保护主义的另一种方式是建立区域自由贸易区或贸易集团。最有效的措施之一是由25个欧洲国家组成的欧盟（EU），它提高了成员国的生产力和产出，并加快了经济增长。另一个措施是北美自由贸易协定（NAFTA），这是一个由美国、加拿大和墨西哥组成的贸易集团，根据该协定，大多数贸易壁垒将在2008年前消除。尽管NAFTA的批评者担心，随着企业迁往墨西哥以利用更低的工资和更宽松的环境监管，美国工人将失去工作，但实际上，在经济衰退时期之前，美国的就业率一直在上升，而且人们普遍认为这三个国家的生活水平都有所提高。2015年，我们还与日本和其他亚洲国家签署了新的贸易协定（TPP）。详情请参阅：www.ustr.gov/tpp。

Another way that nations have sought to reduce protectionism has been through the creation of regional free-trade zones, or trade blocs. One of the most effective has been the European Union (EU), comprising 25 European nations, which has achieved greater productivity, output, and faster economic growth for the members. Another is the North American Free Trade Agreement (NAFTA), a trading bloc formed by the United States, Canada, and Mexico, according to which most trade barriers were to be eliminated by 2008. Although critics of NAFTA were fearful that American workers would lose their jobs as firms relocated in Mexico to take advantage of lower wages and weaker environmental regulations, in effect the employment rate had risen in the United States until the recessionary period, and it is generally felt that the standard of living has improved in all three countries. In 2015, we also entered into a new trade agreement with Japan and other Asian countries (TPP). See: www.ustr.gov/tpp.

经历了一段痛苦的过渡期后，美国经济似乎在全球范围内重拾优势。20世纪90年代，美国实现了充分就业，股市上涨。老牌企业重拾盈利能力，新兴高科技领域涌现出无数利润丰厚的新兴公司。然而，从2000年开始，经济增速放缓，2008年更是陷入全面衰退，失业率居高不下，而我们现在正缓慢地从这种困境中复苏。事实上，过去发生的事件对我们的经济造成了巨大的灾难，使很大一部分美国人心灰意冷，他们不再相信“美国梦”。下一章将探讨经济崩溃的部分原因以及摆脱困境的艰难。

After a painful transitional period, the American economy seemed to regain its edge worldwide. The 1990s saw full employment and a rising stock market. Profitability returned to the old corporations, and myriad new, highly lucrative companies were created in the new high technology field. Beginning in 2000, however, the economy slowed, and in 2008 we were in a full recession and very high unemployment rates, conditions from which we are only slowly recovering. In fact, the events of the past have been so tragic in terms of our economy that they have soured a large proportion of Americans, who no longer believe in the American dream. Some of the reasons for the economic meltdown and the difficulty of pulling out of it will be reviewed in the next chapter.

为了维持生命，人们需要持续的食物供应、充足的住所以及抵御风雨的衣物。这些物资稀缺，需要付出努力才能获得。经济制度由一系列围绕获取生存必需的稀缺资源的行为模式构成。

To sustain life, people need a constant supply of food, sufficient shelter, and clothing for protection from the elements. These goods are scarce and require effort to obtain. The institution of the economy consists of the patterns of behavior that revolve around obtaining the scarce resources necessary for survival.

本质上，社会成员必须决定生产什么、如何分配和交换生产的产品，以及如何消费。这些决策要么依靠习俗和传统，要么依靠领导者或领导者群体的指令，要么依靠依赖于供求关系、价格、利润和亏损的市场运作。大多数现代经济体在决策过程中运用多种此类方法。资源包括劳动力、土地、资本、企业家精神和技术。资源用途广泛但有限，必须加以保护。

Essentially, societal members must decide what to produce, how to distribute and exchange what is produced, and in what manner to consume it. These decisions are made either by relying on custom and tradition, by the command of a leader or group of leaders, or by the functioning of a market dependent on supply and demand and on prices, profits, and losses. Most modern economies use a variety of these methods in decision making. Resources include labor, land, capital, entrepreneurship, and technology. Resources are versatile but finite; they must be conserved.

现代工业经济的特点是（1）资本规模巨大；(2) 极端专业化和分工，即以更少的劳动生产更多商品的方法；(3) 使用货币作为主要的交换媒介。经济体系既是社会体系，也是文化体系，其合法性源于大多数人认可的意识形态。资本主义、社会主义（包括民主和非民主形式）和共产主义是大多数现代工业经济体的三大意识形态基础。

Modern industrial economies are characterized by (1) large amounts of capital; (2) extreme specialization and division of labor, which are methods for producing more goods with less effort; and (3) the use of money as the chief medium of exchange. Economic systems are both social and cultural systems legitimized by an ideology accepted by most people as valid. Capitalism, socialism (in both democratic and nondemocratic forms), and communism are the three ideologies underlying most of the modern industrial economies.

公司是一种商业企业形式，起源于19世纪中叶，为经济提供了巨大的推动力。本质上，这种商业组织形式在降低个人风险的同时，也带来了巨额资金。公司使得金融资本主义——其特征是投资银行和保险公司的主导地位、巨大的资本总量、所有权与经营权的分离以及控股公司——变得盛行。

The corporation is a form of business enterprise that originated in the middle of the nineteenth century and provided the economy with a tremendous boost. Essentially, this form of business organization makes great sums of money available with diminished risks for individuals. The corporation has made finance capitalism—characterized by the dominance of investment banks and insurance companies, by tremendous aggregates of capital, by separation of ownership from management, and by holding companies—become prevalent.

经济权力日益集中于大公司手中，形成寡头垄断，其中一些公司业务高度多元化，业务遍布全球。尽管权力集中会导致强大压力集团的形成，并加剧小公司与大公司的不公平竞争，但它也为现代科技进步提供了所需的先进机器和专业人才。

The trend has been toward ever-greater concentrations of economic power, called oligopoly, in the hands of corporations, some of which are highly diversified and multinational. Although the concentration of power leads to the formation of powerful pressure groups and to unfair competition with smaller firms, it also provides the sophisticated machinery and specialized personnel required for modern technological and scientific advances.

公司催生了由管理人员和白领工人组成的官僚体系，他们已成为国家社会生活中不可或缺的力量，并围绕着他们发展出一系列虚构的神话和科学研究。公司首席执行官的薪酬极高，其中一些人甚至参与了各种白领犯罪。人们认为，重组公司管理模式至关重要。

The corporation has given rise to a bureaucracy of managers and white-collar workers, who have become a definite force in the social life of the nation and around whom a fictional mythology and scientific research have developed. Corporate CEOs are extremely well remunerated, and some have engaged in forms of white-collar crime. It is felt that a reorganization of the corporate form of management is essential.

工业阶梯上剩下的一级属于蓝领工人，他们操作机器和装配线，生产出工业成品。他们的命运传统上与其他工业人员截然不同。

The remaining rung on the industrial ladder belongs to the blue-collar workers who run the machines and the assembly lines to turn out the finished products of industry. Their destinies have been traditionally separate from the rest of the industrial personnel.

美国经济盛行一种改良版的资本主义，即所谓的混合市场，其特点是劳动力主要就业于第三产业。也就是说，它提供服务，而不是开采原材料（第一产业）或将其转化为成品（第二产业）。这种产业转移导致了社会职业结构和阶层体系的变化。这些变化包括一种职业职业化趋势，这些职业职业可以升级，而缺乏技能或受教育程度低的人则成为永久失业者或就业不足者。

The American economy, in which a modified version of capitalism called a mixed market prevails, is characterized by a workforce that is employed largely in the tertiary sector. That is, it supplies services instead of extracting raw materials (the primary sector) or turning them into finished products (the secondary sector). This shift in sectors has resulted in changes in the occupational structure of the society as well as in the stratification system. The changes consist of a trend toward professionalization of jobs that can be upgraded, whereas the unskilled or undereducated become the permanently unemployed or underemployed.

美国的劳工组织始于19世纪末，直到承认政府对工人福利负有责任的立法通过后才再次繁荣。在富兰克林·罗斯福总统任期内，劳工运动再次复苏。罗斯福鼓励工会化，认为工会化能够提升工人的购买力，进而刺激经济。

Organization of labor in the United States began in the late nineteenth century and did not flourish again until the passage of legislation acknowledging government’s responsibility for the welfare of workers. The labor movement saw a further reawakening during the tenure of President Franklin Roosevelt, who encouraged unionization in the belief that it would give workers increased purchasing power, which in turn would stimulate the economy.

如今，工会组织的增长速度正在放缓，部分原因是第二产业的衰落和第三产业的崛起——后者的工人传统上不愿加入工会；部分原因是其他因素。美国劳动力如今正与受过更好教育、训练有素、纪律更严明的外国劳动力竞争，而美国经济正面临来自海外的激烈竞争。

Today, organized labor is experiencing declining growth, partly as a result of the decline of the secondary sector and the growth of the tertiary sector, whose workers have traditionally avoided unionization, and partly because of other factors. American labor is now competing with better-educated, better-trained, and more disciplined foreign labor, just as the American economy is challenged by sharp competition from abroad.

从20世纪70年代开始，美国的生产力开始下降。此外，美国的工业机械和工厂也老化。生产力下降导致经济停滞。为了应对这一因素和其他因素，美国企业进行了业务重组，通过裁员或聘用兼职员工来削减成本，并开始将制造业转移到海外，进行全球采购。这种方法非常成功，以至于我们实际上已经走向了一种全球化的经济模式：商品和服务、资本和劳动力、信息和技术以及资金从美国流向其他国家，然后再流回美国。

Beginning in the 1970s, productivity in the United States began to decline. In addition, American industrial machinery and plants were old. Declining productivity results in a stagnating economy. To counteract this and other factors, American firms reengineered their work, cut costs by laying off employees or using part-time workers, and began to move manufacturing abroad, engaging in global sourcing. This method became so successful that we have effectively moved toward a global type of economy, in which goods and services, capital and labor, information and technology, and finances flow from the United States to other nations and back again.

国际贸易对所有参与者来说都是非常有利可图的，特别是对于工业化国家。国际贸易和开放的经济使美国能够专业化，专注于特定产品，从而提高生产力。然而，许多民众认为开放的国际贸易会导致美国就业机会外流，因此他们向政府施压，要求其阻止这种现象。政府通过征收各种关税和其他贸易壁垒来实现这一目标。经济学家已经证明，保护主义从长远来看是有害的，因此各国政府已经取消了大多数贸易壁垒。相反，各国签署了诸如关贸总协定和世界贸易组织之类的协议，这两项协议都进一步放宽了贸易壁垒。此外，各国还试图通过建立区域自由贸易区来减少保护主义，例如欧盟和北美自由贸易协定（NAFTA）。尽管人们担心这些贸易集团会损害美国工人的利益，但它们仍然取得了成功。然而，也有批评人士直言，经济全球化会导致对工人的剥削和环境监管的削弱。

International trade has been very profitable for all involved, especially for the industrial nations. International trade and an open economy allow the United States to specialize, focusing on specific products, and, thus, increase productivity. However, many segments of the population believe that open international trade allows American jobs to go abroad, and consequently, they pressure the government to impede it. The government does this by imposing various tariffs and other trade barriers. Economists have shown that protectionism is detrimental in the long run, so governments have done away with most trade barriers. Instead, nations have entered into agreements such as GATT and WTO, both of which have additionally liberalized trade barriers. In addition, nations have tried to reduce protectionism by creating regional free-trade zones, such as the European Union and the North American Free Trade Agreement (NAFTA). These trading blocs have been successful despite fears that they would hurt American workers. There are vocal critics, however, who claim that economic globalism leads to exploitation of workers and weakened environmental regulations.

20世纪90年代，美国经济达到顶峰，房地产市场泡沫和投资银行的交易行为让许多人变得非常富有。不幸的是，这些泡沫在2007年底破裂，引发了一段高失业率和高国家赤字的时期，而我们现在才刚刚摆脱这些问题。

The American economy reached a pinnacle during the 1990s with bubbles in the real estate market and trading practices in the investment banking industry making many people very wealthy. Unfortunately, these bubbles burst toward the end of 2007, which introduced a period of high unemployment rates and a high national deficit, problems from which we are just now escaping.

债券承诺以固定利率偿还贷款。

bonds Promises to repay a loan with a set rate of interest.

资本人类创造的所有物质对象。生产要素之一。

capital All material objects made by humans. One of the factors of production.

资本主义： 一种经济制度，其财产属于私人所有；生产以营利为目的；价格、工资和利润受供求和竞争调节。个人福利是其首要关注点。

capitalism An economic system in which property belongs to private individuals; production is engaged in for a profit motive; and prices, wages, and profits are regulated by supply and demand, as well as competition. The welfare of the individual is the chief concern.

公司为大规模生产而组织的企业形式。

corporation A form of enterprise organized for large-scale productions.

生产要素 劳动力、土地、资本、企业家精神、时间和技术，或生产商品和服务时结合的基本要素。

factors of production Labor, land, capital, entrepreneurship, time and technology, or the basic elements that are combined in the production of goods and services.

金融资本主义 与工业化后期相关的资本主义，其中商业组织具有以下特点：（1）投资银行和保险公司占主导地位，（2）资本总量庞大，（3）所有权与经营权分离，（4）控股公司的出现，以及（5）股份有限公司的出现。

finance capitalism Capitalism associated with a later stage of industrialism in which business organizations are characterized by (1) dominance of investment banks and insurance companies, (2) large aggregates of capital, (3) ownership separate from management, (4) appearance of the holding company, and (5) appearance of the corporation.

行会中世纪常见的一种工会。

guilds Kinds of labor unions that were common during the middle ages.

工业资本主义与 工业主义早期阶段相关的资本主义，其中商业组织主要关注制造、采矿和运输。

industrial capitalism Capitalism associated with an early stage of industrialism in which business organizations were concerned mainly with manufacturing, mining, and transportation.

劳动力： 一种人力资源。生产要素之一。

labor A human resource. One of the factors of production.

土地指自然物质，例如土地、矿产、水。另一种生产要素。

land Natural material things such as land, minerals, water. Another of the factors of production.

货币， 最重要的交换媒介。

money The preeminent medium of exchange.

垄断一家公司生产特定产品的全部市场供应的情况。

monopoly A situation in which one firm produces the entire market supply of a specific product.

跨国公司 将生产扩展到国外的公司，为自己带来了巨额利润（因为劳动力廉价且市场扩大），但冒着被视为对东道国的威胁的风险。

multinational corporations Corporations that extend production to foreign nations at great profit to themselves (because labor is cheap and markets are expanded) but at the risk of being perceived as threats to the hosts.

寡头垄断 行业集中度高的一种状况，少数公司主导整个行业，有效地阻止价格竞争。

oligopoly A condition of high industrial concentration in which a small number of corporations dominate an entire industry, effectively preventing price competition.

机会成本 做出经济选择所涉及的牺牲。

opportunity cost The sacrifice involved in making an economic choice.

合伙企业 是一种比独资企业更为复杂的商业组织形式，涉及两个或两个以上的个人。

partnership A more complex form of business organization than a sole proprietorship that involves two or more individuals.

经济的第一产业 涉及原材料的开采和加工材料（农业、渔业、采矿业和林业）。

primary sector of the economy Deals with the extraction and processing of raw materials (agriculture, fishing, mining, and forestry).

生产可能性界限： 一个社会能够达到的最佳产量。每个社会都面临着一个生产可能性边界，超出这个边界，其生产就无法进行。

production-possibility limits The optimum amount of production that a society can attain. Each society faces a production-possibility frontier beyond which it cannot produce.

生产力 工人在规定小时内生产的金额（以美元计）。

productivity The amount in dollars that a worker produces in a given hour.

财产所有者对某物品所拥有的权利，与非该物品所有者的权利相比。

property The rights that an owner has to an object as compared with the rights of those who are not owners of that object.

资源生产商品和服务所需的一切。

resources Everything that is needed for the production of goods and services.

经济的第二产业 涉及制造和建筑，将原材料转化为成品。

secondary sector of the economy Is concerned with manufacturing and constructing, turning raw materials into finished products.

股票公司所有权的股份。

stocks Shares of ownership in a corporation.

经济的第三产业 涉及服务业——修理、改造、教育、治疗等。

tertiary sector of the economy Involves services—repairing, remodeling, educating, healing, etc.

信托公司 合并的目的是垄断市场。

trusts Mergers of corporations for the purpose of cornering a market.

Barlett, Donald L. 和 James B. Steele。1998 年。“企业福利”。《时代》杂志，11 月 9 日，第 36-40 页。

Barlett, Donald L., and James B. Steele. 1998. “Corporate Welfare.” Time, November 9, pp. 36–40.

Kinsley, Michael。1991年。“TRB。” 《新共和》，1月21日，第4、41页。

Kinsley, Michael. 1991. “TRB.” The New Republic, January 21, pp. 4, 41.

Myerson, Allen R. 1995. “美国的金钱让全世界欢呼。” 《纽约时报》，12 月 17 日，第 E1、E14 页。

Myerson, Allen R. 1995. “American Money Makes the Whole World Sing.” The New York Times, December 17, pp. E1, E14.

Appleby, Joyce。2010。《无情的革命：资本主义史》。纽约：WW Norton。本书是对最现代经济体系的全新解读，聚焦于该体系如何不断变革，并从内部彻底改变社会结构。

Appleby, Joyce. 2010. The Relentless Revolution: A History of Capitalism. New York: W. W. Norton. A new account of the most modern of economic systems, focusing on the way the system is constantly changing, revolutionizing the structure of society from within.

托马斯·L·弗里德曼，2005年。《世界是平的：二十一世纪简史》。纽约：法勒、施特劳斯和吉鲁出版社。这位屡获殊荣的《纽约时报》专栏作家阐述了科技与事件的融合如何促成了全球化。世界是平的，因为制造业和服务业可以从一个国家流向另一个国家，让不同国家的人民为其社会创造财富。本书清晰地阐述了全球化带来的成功、失败和不满。

Friedman, Thomas L. 2005. The World Is Flat: A Brief History of the Twenty-First Century. New York: Farrar, Strauss and Giroux. The award-winning The New York Times columnist explains the convergence of technology and events that has led to globalization. The world is flat because manufacturing and services can flow from one country to the next, allowing people of different countries to create wealth for their societies. A clear narrative that includes successes as well as failures and discontents that globalization evokes.

皮凯蒂，托马斯。2014年。《 21世纪资本论》。马萨诸塞州波士顿：贝尔纳普出版社（哈佛大学出版社）。本书探讨全球不平等问题，并基于对工业革命后财富和收入集中的广泛研究。

Piketty, Thomas. 2014. Capital in the Twenty-First Century. Boston, MA: Belknap Press (Harvard University Press). The book’s subject is the issue of global inequality. It is based on extensive research in the concentration of wealth and income following the Industrial Revolution.

还有许多有趣的文章：

There are also a number of articles of interest:

奥斯汀，本。2009 年。“路的尽头：底特律之后，美国梦的破灭。” 《哈泼杂志》，8 月。

Austen, Ben. 2009. “End of the Road: After Detroit, the Wreck of an American Dream.” Harper’s Magazine, August.

Brill, Steven。2010 年。“接受救助的银行家值多少钱？” 《纽约时报杂志》，1 月 3 日，第 32-49 页。

Brill, Steven. 2010. “What’s a Bailed-Out Banker Worth?” The New York Times Magazine, January 3, pp. 32–49.

Cohen, Patricia。2007年。“各经济部门对基本假设的辩论意愿日益增强。”美国商务部网站，提供经济状况信息。

Cohen, Patricia. 2007. “In Economics Departments, a Growing Will to Debate Fundamental Assumptions.” Web site of the U.S. Department of Commerce with information about the state of the economy.

Principles of Economic Behavior: Microeconomics and Macroeconomics

经济行为原理：微观经济学和宏观经济学

在本章中，你将学习

IN THIS CHAPTER, YOU WILL LEARN

• 微观经济学和宏观经济学之间的区别；

• the difference between microeconomics and macroeconomics;

• 市场体系的参与者是谁；

• who are the participants in the market system;

• 价格体系的本质是什么；

• what is the essence of the price system;

• 市场力量是什么；

• what are the market forces;

• 公共部门和政府干预经济的必要性；

• the need for a public sector and for government intervention in the economy;

• 关于社会的经济目标；

• about the economic goals of the society;

• 政府干预经济的手段及其运作不完善的原因；

• the instruments at the government’s disposal for intervening in the economy and the reason for their imperfect functioning; and

• 经济面临的主要经济问题，以及美国经济如何应对这些问题。

• the major economic problems faced by the economy, and how the American economy responds to them.

埃经济学有时被称为“令人沮丧的科学”，许多人根本不认为它是一门科学。事实上，经济学的预测能力很弱，它的成功很大程度上依赖于积极的心理学。然而，经济学家对经济的运作机制有着深入的了解，他们知道哪些具体行动将产生哪些经济结果。

Economics is sometimes called the “dismal science,” and many do not consider it a science at all. In fact, the predictive power of economics is weak, and much of its success is predicated on a positive psychology. Economists have learned much about the functioning of the economy, however, and they know which specific actions will have which economic result.

小图景与大图景

The Small Picture and the Large Picture

对经济系统的分析分为两个层面：微观经济学和宏观经济学。微观经济学研究的是经济中的个体行为以及特定市场的行为。它涉及经济系统各个组成部分的行为细节。经济，例如，什么决定了单一产品的价格，或者为什么单个消费者或企业会采取这样的行动。

The analysis of an economic system is done on two levels: microeconomics and macroeconomics. Microeconomics is the study of individual behavior in the economy, as well as of specific markets. It deals with the details, the behavior of individual components of the economy, such as, for instance, what determines the price of a single product or why single consumers or firms act as they do.

换句话说，当我们从微观角度看待经济时，我们关注的是单株树木，而不是森林。我们想知道个人或公司在经济中的行为。失业后，人们会怎么做？他们会如何应对各种激励和机会？为什么他们会购买某些商品而不是其他商品？某种特定产品的价格是多少？某个特定公司的支出是多少？某个特定家庭的收入是多少？

When we look at the economy from the micro point of view, in other words, we look at single trees, not at the forest. We want to know how an individual, or a company, behaves in the economy. What do individuals do when they lose their jobs? How do they respond to various incentives and opportunities? Why do they buy certain goods and not others? What is the price of a specific product? What are the expenses of a particular firm? What is the income of a given household?

宏观经济学研究的是整个国民经济，也就是宏观层面，或者说是“森林”。在宏观分析经济时，我们会关注诸如维持充分就业、抑制通货膨胀、稳定经济和追求经济增长等国家目标；我们还会关注产出、收入、物价水平、对外贸易以及政府政策。简而言之，我们想知道经济作为一个整体是如何运作的，并希望了解如何改善它。当然，将宏观经济学和微观经济学区分开来只是为了方便，是为了将大量信息进行划分，使其更易于分析。实际上，我们关注的是同一个机构。

Macroeconomics deals with the national economy as a whole, that is, with the large picture, or the forest. In analyzing the economy in macro terms, we look at such national goals as maintaining full employment, limiting inflation, stabilizing the economy, and pursuing economic growth; we look at output, income, price level, foreign trade, and government policies. In short, we want to know how the economy as a unit is working, and we want to see how to improve it. Of course, the division into macro- and microeconomics is simply a matter of convenience, a way of dividing a huge amount of information to make it more amenable to analysis. In reality, we are looking at the same institution.

市场机制

Market Mechanisms

将美国经济描述为基于亚当·斯密所概述的古典资本主义原则的混合市场经济是一回事，而了解该体系的运作机制又是另一回事。例如，如何确保某种产品的产量适中？如果某种产品产量过剩会怎样？谁来指导公司生产什么以及何时生产？消费者从哪里获得收入来购买公司生产的产品？政府在其中扮演着什么角色？当需要清晰地解释美国经济的运作方式时，这些问题以及更多其他问题便不言而喻。

It is one thing to describe the American economy as a mixed-market economy based on the principles of classical capitalism as outlined by Adam Smith, and another thing to know the mechanisms by which such a system functions. How is it, for instance, that the correct amount of a given product is manufactured? What happens if too much of a certain item is produced? Who tells companies what to make and when to make it? Where do consumers get the income to buy the products made by companies? What is the role of government? These and many more questions suggest themselves when a clear explanation of the working of the American economy is required.

谁做决定？

Who Makes Decisions?

在市场经济中，生产什么的决定权在消费者手中。消费者对某种产品的需求越大，他们就越愿意为此花钱。他们越愿意为此付费，生产者就越渴望生产它，因为大量的销售会增加生产者的利润。因此，价格体系基本上决定了哪些商品和服务将被生产。如果消费者愿意支付某个价格，生产者就愿意生产该产品。价格体系充当着一种社会控制机制——它控制着社会将生产什么。然而，需要注意的是，价格体系并不一定反映消费者的需求，而是反映消费者的愿望。

In a market economy, decisions about what to produce are made by consumers. The more consumers want a certain product, the more they are willing to spend for it. The more they are willing to pay for it, the more producers are eager to manufacture it, for large sales will increase producers’ profits. Therefore, it is basically a price system that decides which goods and services are going to be produced. If consumers are willing to pay a price, producers are willing to make the item. The price system acts as a mechanism of social control—it controls what will be produced in the society. Note, however, that the price system does not necessarily reflect consumer needs, but rather consumer wants.

谁参与经济？

Who Participates in the Economy?

社会中参与经济或市场交易的群体有三类：家庭、企业和中央机构。家庭的定义是指居住在同一屋檐下并作为一个单位做出财务决策的所有人。家庭被称为消费者，因为他们的行为目标单一，如同个体一样。家庭做出两个基本决策：如何花费收入以及如何出售劳动力（或开发土地或投资资本，即其他生产要素）以获取收入。

Three groups in society participate in economic, or market, transactions: households, firms, and central authorities. The household is defined as all the people who live under one roof and make financial decisions as a unit. Households are called consumers because they behave with a singleness of purpose, as if they were individuals. Households make two basic decisions: how to spend their income and how to sell their labor (or exploit their land or invest their capital, the other factors of production) to obtain income.

企业被定义为决定如何使用劳动力、土地和资本，以及生产哪些商品和服务的单位。它从家庭购买一些生产要素（例如，雇佣劳动力），并利用这些要素生产商品和服务，然后再将这些商品和服务卖给其他家庭、其他企业以及中央政府。企业的目标是尽可能多地生产，以获得高利润。

The firm is defined as the unit that decides how to use labor, land, and capital, and which goods and services to produce. It buys some factors of production from households (it hires labor, for instance) and uses the factors to produce goods and services, which it then sells back to other households, to other firms, and to central authorities. The firm’s purpose is to produce as much as possible so that profits are high.

图 18.1股票市场是市场最抽象的表现：不是苹果或洋葱，而是公司股票的买卖，价格由供求规律决定。

IMAGE 18.1 The stock market is the most abstract representation of a market: Instead of apples or onions, shares in companies are bought and sold, at prices established by the laws of supply and demand.

©美联社/理查德·德鲁

中央机构的定义是指所有公共机构、政府机构以及受各级政府控制、对家庭和企业行为进行控制的其他组织。中央机构通常简称为政府。中央机构并非以单一单位或个体的身份行事；相反，它们肩负着多重目标。

The central authorities are defined as all public agencies, government bodies, and other organizations under the control of the various levels of government that exercise control over the behavior of households and firms. The central authorities are generally referred to simply as the government. Central authorities do not act as a unit, or as if they were single individuals; on the contrary, they have many objectives.

市场

Markets

从经济学意义上讲，市场是一个抽象概念。它可以定义为一个地理区域（全球范围或仅几个街区），买卖双方在此区域内协商交换特定商品。例如，“糖市场”指的是全球范围内糖的需求、供应和价格。市场可以分为产品市场（企业在其中销售其生产的商品和服务）和要素（或资源）市场（家庭在其中销售其控制的生产要素（土地、劳动力、资本）。

A market, in an economic sense, is an abstraction. It may be defined in terms of a geographic area (worldwide or only several blocks wide) over which buyers and sellers negotiate the exchange of specific commodities. For example, “the sugar market” refers to the demand for, the supply, and the price of sugar on a worldwide level. Markets may be distinguished into product markets, in which firms sell their production of goods and services, and factor (or resource) markets, in which households sell the factors of production (land, labor, capital) that they control.

循环流动

The Circular Flow

当消费者的需求变得清晰时，追求利润的企业便开始生产相应的产品。为了实现利润最大化，他们尽可能多地生产，尽可能少地投入——他们试图降低生产成本。在这个过程中，他们能够雇佣更多工人，而工人则会因为更高的收入而涌向特定行业。

When it becomes clear what consumers want, business firms, looking for profits, begin to produce it. To maximize profits, they produce as much as possible for as little as possible—they try to reduce their production costs. In this process, they are able to employ more workers, and workers flock to jobs in specific industries because of the higher incomes they can earn.

一家成功的企业很快就会吸引渴望盈利的竞争对手。竞争就在这里发挥作用，最终导致市场充斥着消费者所需的商品或服务。当产品数量超过消费者愿意购买的数量时价格被迫下降。这意味着制造商的利润也会下降，但生产仍会持续一段时间，即使利润减少。企业始终受利润驱动。然而，它履行着重要的社会职能，以最有效的方式组织生产活动，并将生产资源引导到消费者需求最旺盛的地方。正如亚当·斯密所言，贪婪确实是商业背后的“看不见的手”，但它却带来了多么奇怪的后果！

A successful business firm soon attracts rivals eager to make profits, too. Here the role of competition comes in, with the ultimate effect of flooding the market with the desired goods or services. When there are more products than consumers willing to buy them, prices are forced down. This means that profits also go down for the manufacturers, but production will continue for a time, even for smaller profits. The business firm is always motivated by the thought of profit. However, it performs the important social function of organizing productive activity in the most efficient way, and it directs productive resources where consumer demand is strongest. As Adam Smith thought, greed is indeed the “invisible hand” that underlies business, but what strange consequences it has!

谁获得了企业生产的商品和服务？那些既有购买欲望，又有收入支付这些商品和服务的家庭和企业。这个过程的循环性在这里变得显而易见：消费者通过向企业出售劳动力来赚钱；实际上，消费者为他们想要消费的商品的生产做出了贡献。他们获得的收入取决于他们对生产过程贡献的重要性以及其他消费者愿意为这些产品支付的价格。最终，消费者的收入决定了他们实际能够购买多少他们想要的商品和服务。由于稀缺性，某些商品和服务的价格过高，以至于一些消费者只能购买少量产品，甚至完全被淘汰。因此，价格体系也会根据谁能够为特定产品支付最高价格，在消费者之间进行产品配给。

Who obtains the goods and services that business firms produce? Those households and firms that have both the desire for them and the income to pay for them. Here the circular nature of the process becomes obvious: consumers earn money by selling their labor to business firms; in effect, consumers contribute to the production of the goods they want to consume. The income they earn depends on the importance of their contribution to the production process and the price other consumers are willing to pay for the products. Finally, the amount of income consumers earn determines how much they can actually buy of the goods and services they want. Because of scarcity, the price of some goods and services is so high that some consumers can buy only small quantities of the products or are eliminated altogether. The price system, then, also rations products among consumers on the basis of who is able to pay the most for a specific product.

上述活动可以看作是从产品市场到要素市场再回到产品市场的循环流动。家庭需要无限的商品，但用于购买这些商品的资源（收入）有限。他们必须在产品市场上选择购买哪些产品。他们的选择会影响产品价格，并向企业发出信号，告知消费者消费者需要哪些商品和服务。企业也会影响价格，因为它们也会选择生产哪些产品（那些能为其带来最大利润的产品）。此外，企业必须根据生产决策购买生产要素，而生产决策又取决于消费者的决策。例如，他们必须从家庭购买劳动力，并根据特定技能的需求支付报酬。劳动报酬为家庭提供收入，用于支付他们的部分需求。简而言之，企业和家庭紧密相连，形成一个永无止境的循环（图18.1）。

The activities just described may be seen as a circular flow from product markets to factor markets and back again. Households want unlimited commodities but have only limited resources (income) with which to buy them. They must make choices about which products to buy in the product market. Their choices affect the prices of products and act as signals to firms about which goods and services consumers want. Firms affect prices, too, because they also make choices about which products they produce (those that provide them with the largest profit). In addition, firms must buy factors of production in amounts dependent on production decisions, which in turn depend on consumer decisions. They must buy labor, for instance, from households, and pay for it according to the demand for specific skills. Payments for labor provide households with income, which goes to pay for some of their many demands. In short, firms and households are bound together in an unending and unbroken circle (Figure 18.1).

提款与注入。如果没有两个重要的例外，支付和收入的循环流动将是一个完全封闭的系统。首先，家庭和企业都不会将其所有收入都用于相互购买商品、服务和生产要素。家庭缴纳所得税，并将部分收入储蓄起来以备将来支出。这意味着家庭收入的一部分上交给政府，一部分被保留，只有一部分流向企业。企业也是如此：它们必须纳税，储蓄或投资以备将来扩张，只有一部分收入会回到家庭用于购买劳动力或流向其他企业用于购买某些生产要素。因此，收入的循环流动被提款（也称为漏损）所打断，提款包括家庭收到的未返还给企业的收入，以及企业收到的未返还给家庭或其他企业的收入。其次，政府也从企业购买商品和服务，企业也向其他企业出售商品和服务。这些例外被称为收入循环流动的注入。注入是企业收到的不源自家庭支出的收入，以及家庭收到的不源自企业支出的收入。

Withdrawals and Injections. The circular flow of payments and incomes would be a completely closed system were it not for two important exceptions. First, neither households nor firms spend all their incomes to buy goods and services and factors of production from each other. Households pay income taxes and save some of their income for future expenditures. This means that some of the household’s income goes to the government, some is kept, and only some goes to firms. The same is true of firms: they must pay taxes, they save or invest for future expansions, and only some of their income goes back to households to buy labor or to other firms to buy some factors of production. Therefore, the circular flow of income is interrupted by withdrawals, also called leakages, consisting of income received by households that is not returned to firms and income received by firms that is not returned to households or other firms. Second, the government also buys goods and services from firms, and firms sell to other firms. These exceptions are called injections into the circular flow of income. Injections are incomes received by firms that do not originate from the spending of households and incomes received by households that do not originate from the spending of firms.

市场力量

Market Forces

所有经济活动的总体目标都是在资源匮乏的情况下满足人类的需求。具体来说，每个参与者都试图在市场上实现最大化。消费者通过在市场上提供劳动力或其他资源，获得最令人满意的收入或商品和服务组合，努力实现幸福最大化。企业则试图通过使用最高效的资源生产利润最高的产品，从而实现利润最大化。政府机构则负责利用资源生产公共产品和服务，并更公平地进行收入再分配，从而实现人口（即整个社会）总体福利的最大化。

The overall goal of all economic activities is to satisfy human needs in the face of scarcity. Specifically, each participant tries to maximize something in the marketplace. Consumers try to maximize their happiness by offering their labor or other resource on the market and obtaining the most satisfying combination of income or goods and services. Firms try to maximize their profits by using the most effective resources to manufacture the most profitable products. Government agencies are responsible for maximizing the general welfare of the population (that is, the society in general) by using resources to produce public goods and services and for redistributing income more equitably.

循环流动

The Circular Flow

图 18.2

FIGURE 18.2

然而，参与者并非完全自由地追求其目标。所有三方参与者都受到以价格（商品和服务）和收入（劳动）形式体现的货币的影响。消费者购买什么以及购买数量在很大程度上取决于产品和服务的价格以及消费者的收入。企业生产什么以及它们在生产过程中使用的资源的数量和种类在很大程度上取决于资源和劳动力的价格。即使是政府机构的行动也会受到预算以及资源和产品价格的制约。因此，价格会影响所有参与者；当价格发生变化时，消费者、企业和政府机构的行为也会发生变化。

However, the participants are not entirely free to pursue their goals. All three participants are affected by money in the form of prices (for goods and services) and incomes (for labor). What consumers buy and the quantity they buy depend to a large degree on the price of the products and services and on their income. What firms produce and the quantity and variety of resources they employ in the production process depend to a large degree on the prices of resources and of labor. Even government agencies are stymied in their actions by a budget and by the prices of resources and products. Prices, then, affect all participants; when prices change, so does the behavior of consumers, firms, and government agencies.

需求与供给

Demand and Supply

在像美国这样的社会中，每天在每个市场发生的交易是如此之多和复杂，以至于互动模式很难追踪。说明单个个体（消费者）的行为会更容易一些，因为要知道，这种行为在现实中必须增加数百万倍。

The exchanges that take place in each market each day are so numerous and complicated in a society such as the American one that patterns of interaction are difficult to trace. It is easier to illustrate the behavior of a single individual, a consumer, knowing that such behavior must in reality be multiplied millions of times.

每个消费者都拥有一定数量的购买力（即有一定的收入），这些购买力将用于根据特定的需求、愿望、品味等购买东西。通过这些因素的组合，经济学家可以确定消费者对任何产品的需求。需求表现为消费者以给定价格购买特定产品的意愿和能力。一位消费者需要一些新衬衫，并预留了 100 美元来购买，他可能会决定，如果每件衬衫 20 美元，他就买五件；如果每件衬衫 30 美元，他就买三件；如果每件衬衫 50 美元，他就只买两件。消费者的需求由这些不同的数量和价格组合组成。经济学家用一张图表来说明需求，其中价格和数量的组合以曲线的形式出现，即需求曲线。需求曲线一目了然地显示了任何产品的价格和需求量之间的反比关系。这可以称为需求定律，它指出，当产品价格较低时，消费者会购买更多产品，而当产品价格较高时，消费者会购买更少产品。市场需求曲线由每位消费者的个人需求曲线相加得出。

Every consumer disposes of a certain amount of purchasing power—has some income—that will be used to buy things according to specific needs, desires, tastes, and so on. Out of this combination of factors, economists can identify the consumer’s demand for any product. Demand is expressed as consumers’ willingness and ability to buy a specific product at a given price. A consumer who needs some new shirts and has set apart $100 to buy them may decide to buy five shirts if they cost $20 each, three shirts if they cost $30 each, and only two shirts if they cost $50 each. The consumer’s demand consists of these various combinations of quantities and prices. Economists illustrate demand with a graph in which the combinations of prices and quantities appear in the shape of a curve, the demand curve. The demand curve shows at a glance the inverse relationship between price and quantity demanded for any product. This can be called the law of demand, and it states that consumers will buy more of a product when it is offered at a low price and less of it when it is offered at a high price. The market demand curve is determined by adding the individual demand curves of each consumer.

这枚硬币的另一面，其运作方式完全相同，就是市场供给的概念。市场供给代表企业（企业或生产商）以特定价格供应特定产品（例如小麦、汽车或衬衫）的意愿和能力的综合。供给曲线的绘制方式与需求曲线相同，只是现在价格与供给量之间的关系是正的。换句话说，价格上涨，供给量增加；价格下跌，供给量减少。这种关系可以称为供给定律，它表明企业在高价位时会比低价位时生产和销售更多产品。

The other side of this coin, which works exactly the same way, is the concept of market supply. Market supply represents the combined willingness and ability of firms (businesses or producers) to supply specific products (such as wheat or cars or shirts) at specific prices. A supply curve is plotted in the same way as a demand curve, except that now the relationship between price and quantity supplied is positive. In other words, as price increases, the quantity supplied increases, whereas as price falls, the quantity supplied decreases. This relationship may be called the law of supply, and it states that firms will produce and offer for sale more of their product at a high price than they will at a low price.

需求曲线和供给曲线简化了市场行为的分析。它们一目了然地展示了市场参与者之间的资源、产品和资金流动情况。它们还显示了每个市场中商品和资源的交换数量，以及它们的买卖价格。

Demand and supply curves simplify the analysis of market action. They show at a glance the flow of resources, products, and money among the participants in the market. And they illustrate the quantity of goods and resources being exchanged in each market, as well as the prices at which they are bought and sold.

均衡与价格弹性

Equilibrium and Price Elasticity

在某些情况下，既不会出现过剩，也不会出现短缺：需求量和供给量保持平衡。这是因为生产者愿意出售的价格与消费者愿意购买的价格相等。经济学家称之为均衡价格和均衡数量（图18.2）。

In some situations neither a surplus nor a shortage occurs: the quantity demanded and the quantity supplied are in balance. This happens because the price at which producers are willing to sell and the price at which consumers are willing to buy coincides. Economists call this the equilibrium price and quantity (Figure 18.2).

人们会根据价格变化增加或减少购买量。这种情况被经济学家描述为需求价格弹性。经济学家所说的弹性是指响应性。如果消费者在价格小幅下调后会大幅增加某种产品的购买量，则需求被称为富有弹性的。然而，如果消费者在价格下降的情况下购买量却很少，则需求被称为缺乏弹性的。需求价格弹性可以用数学精确定义。它是需求量变化百分比除以价格变化百分比。

People increase or decrease their purchases according to changes in price. This situation is described by economists as the price elasticity of demand. By elasticity, economists mean responsiveness. If consumers buy substantially more of a certain product in response to a small downward change in price, demand is said to be elastic. However, if consumers buy very little of a certain product despite its lowered price, demand is said to be inelastic. The price elasticity of demand can be defined with mathematical precision. It is the percentage change in quantity demanded divided by the percentage change in price.

自由放任原则与公共需求。市场上发生的活动引起了经济学家和普通民众的浓厚兴趣。没有任何固定的程序、计划或方向，商品和服务在消费者和企业之间流动，商品和服务的内容和流动也都存在，产品交换的价格也由既定的规则决定。简而言之，商品和服务的内容、流动以及价格，都是由个体买卖双方的独立行为决定的，他们甚至不需要了解市场如何运作。他们只需根据个人意愿、能力和收入采取行动即可。

The Principle of Laissez-Faire and Public Needs. The actions that take place in the marketplace have intrigued economists and laypersons alike. Without any fixed program, plan, or direction, both the content and the flow of goods and services between consumers and businesses take place, and the prices at which products are exchanged are set. In short, both content and flow, as well as prices, are determined by the independent actions of individual buyers and sellers, who do not even need to know how the market works. All they have to do is act on their personal desires, abilities, and incomes.

运动鞋的需求曲线、供给曲线和均衡点

Demand Curve, Supply Curve, and Equilibrium Point for Athletic Shoes

图 18.2

FIGURE 18.2

市场机制拥有诸多优势，否则它不可能持续存在这么多年。它让个人感到不受约束。它允许每个参与者最大化其目标，无论是利润还是满足感。当然，每个参与者获得的利润和满足感，仅限于其所能从其拥有的产品或资源中获得的利润和满足感。收入更高的参与者可以获得更多产品，而拥有更多天赋、技能或勤奋的人也可以获得更多收入。换句话说，市场机制使得经济能够正常运转，并让每个人都能获得某种满足感。同时，社会稀缺资源被用于生产需求最大的商品和服务，而需求最大的商品和服务的需求量体现在参与者愿意支付的价格上。最终，经济产出的分配取决于每个参与者为换取特定产品而愿意并能够放弃的购买力。

The mechanism of the market has many advantages or it would not have persisted these many years. It allows individuals to feel free from constraint. It permits each participant to maximize his or her goals, whether these be profits or satisfaction. Of course, each participant derives only as much profit and satisfaction as may be obtained from the products or resources each possesses. The participant with more income can obtain more products, and the one with more talent or skills or diligence can obtain more income. The mechanism of the market is such, in other words, that it enables an economy to function, allowing all persons to derive some satisfaction. At the same time, society’s scarce resources are used in the production of the goods and services for which there is greatest demand as expressed by the prices that participants are willing to pay. Finally, the economic output is distributed on the basis of the amount of purchasing power each participant is willing and able to part with in exchange for a particular product.

由于市场无需干预就能运转良好，由此衍生的政策恰恰是“放任自流”。这项政策最初由亚当·斯密提出，后来在其法语译本中被称为“自由放任”主义。该主义认为政府应该置身事外，长期以来一直是纯粹资本主义和保守政治的主流。

Because the market works so well without intervention, the policy that has been derived from it is precisely one of “leaving things alone.” The policy was first formulated by Adam Smith and has since been referred to in its French translation as the “laissez-faire” doctrine. This doctrine holds that the government should stay out of the economy, and it has long been a staple of pure capitalism and conservative politics.

然而，放任不管并不总是对大多数人有利。例如，市场机制并不为公共物品（高速公路、警察和消防、医疗保健等等）的生产提供任何保障。这些公共物品虽然人人受益，但却无人愿意为此付费。此外，市场机制更利于那些已经拥有一定资源、能够最大化满足感或获得更多利润的人。市场机制偏袒那些继承了巨额财富或优良基因的人。从这个意义上讲，市场体系使不平等永久化。

Leaving things alone, however, does not always work to the advantage of a majority. For example, the market mechanisms make no provision for the production of public goods—highways, police and fire protection, health care, and so on—from which everyone also derives benefits, but for which nobody wants to pay. Moreover, the mechanisms work to the advantage of those who already possess some resources with which to maximize satisfaction or obtain more profits. The market mechanisms favor individuals who have inherited particularly large fortunes or particularly good genes. In this respect, the market system perpetuates inequality.

图 18.2经济中的外部性之一是城市街道和道路的持续维修需求。维修自家门前的街道固然能提升我们的满意度，但我们却不愿为此付费，邻居们也可能完全拒绝支付维修费用。因此，我们必须依靠地方政府向我们和所有邻居征税，然后用这些公共资金支付所需的维修费用。

IMAGE 18.2 One of the externalities in the economy consists of the constant need to repair the streets and roads of our cities. Repairing the street in front of our house contributes to our satisfaction, but we do not like to pay for it, and our neighbors may refuse to pay for repairs altogether. Therefore, we must rely on the local government to collect taxes from us and all our neighbors and then to pay for the needed repairs with these public funds.

那些掌控着大量生产资源的人能够改变市场交易的结果，以服务于自己的利益。如果一家公司生产了全国绝大多数的冰箱，那么这家公司就可以控制供应，并几乎完全掌控价格，而不必担心市场中的其他参与者。这就是为什么政府不得不干预自由市场经济的监管角色。

Those who are in control of a significant proportion of productive resources are able to change the results of market transactions to serve their own interest. If one firm produces the vast majority of refrigerators in the country, that firm can control supply and pretty much set prices without worrying about the other participants in the market. This is why the government has had to interfere in the role of regulator of the free-market economy.

宏观视角

A Macroview

亚当·斯密一定会震惊地发现，如今的美国人竟然期望政府提供充分就业、维持物价稳定、保护环境、修建并维护——并持续改善——学校和公路、照顾病人、救济穷人、执行法律、规范商业，以及做其他各种各样的事情。斯密设想政府的职责仅仅是国防，除此之外别无其他。

Adam Smith would be horrified to know that today Americans expect their government to provide full employment, maintain price stability, protect the environment, build and maintain—and continually improve—schools and highways, care for the sick, support the needy, enforce laws, regulate commerce, and do myriad other things. Smith envisioned government as providing for the nation’s defense and hardly anything more.

公共部门——政府为公共利益而从事的经济活动——已经发展到如此程度，以至于政府支出目前约占所有支出的三分之一，每四个工人中就有一个由政府雇用。当然，原因在于公共部门以私营部门无法做到的方式服务于民生。私营部门通过市场机制取得的成果与社会目标并不完全一致。因此，包括美国市场经济在内的市场经济，接受公共权力的干预，对经济运行做出重大改变。

The public sector—economic activities in which the government engages for the public good—has grown to such proportions that government spending now accounts for approximately one-third of all expenditures, and the government employs one out of every four workers. The reason is, of course, that the well-being of the people is served by the public sector in ways that the private sector cannot do. The results achieved in the private sector through market mechanisms are not totally consonant with societal goals. Therefore, market economies, including the American market economy, have had to accept the intervention of public power to make significant alterations in the functioning of the economy.

遗憾的是，公共部门受到庞大且自我延续的官僚体系的束缚，这些体系根深蒂固，以至于很难以无能为由解雇员工，也很难撤销已经完成使命的机构。因此，政府提供的服务有时执行得不如私营部门，而且速度更慢、成本更高。然而，我们知道我们需要公共部门，因为在努力实现一定的生活水平时，我们心中也怀有特定的经济目标。

Unfortunately, the public sector is hampered by large, self-perpetuating bureaucracies that become so entrenched that it is difficult to dismiss employees for incompetence or eliminate agencies whose missions have been fulfilled. Consequently, when the government provides services, these are sometimes not as well executed (and slower and more expensive) than those provided by the private sector. Yet we know we need a public sector because, in trying to attain a certain standard of living, we have certain economic goals in mind.

公共利益：社会经济目标

The Public Interest: Socioeconomic Goals

社会目标难以界定。在美国这样一个拥有三亿多人口、文化经历各异、期望迥异的国家，尤其如此。此外，经济目标与其他社会目标也难以区分，因为许多经济目标的实现会直接改善社会状况。尽管如此，大多数美国人都认同，社会的主要目标包括以下几点：

The goals of a society are not easily defined. This is particularly true in a nation like the United States of more than 300 million individuals with varied cultural experiences and distinct expectations. In addition, it is not easy to separate economic goals from other societal goals because the achievement of many economic goals leads directly to improved social conditions. Nonetheless, most Americans would agree that the predominant goals of the society include the following:

1.充分就业

1. Full employment

2. 理想的经济产出组合

2. A desirable mix of economic output

3. 高收入和公平分配

3. High as well as equitably distributed incomes

4.价格合理稳定

4. Reasonable price stability

5. 充足的经济增长

5. Adequate economic growth

诚然，在自由社会中，甚至连什么代表公共利益都值得商榷。在美国，政治影响着我们对公共利益的理解。总体而言，自由派民主党人认为，为了人民的利益，政府有必要进行干预。保守派共和党人则倾向于不干预，或者说是典型的自由放任主义态度。他们主张小规模政府，不为个人做太多事情。但自由派和保守派或许都会同意，上述大多数目标都需要政府（公共政策）的帮助才能实现。

It is true that in a free society even what represents the public interest is a matter of debate. In the United States, politics colors our perception of the public interest. In a general way, liberal Democrats have maintained that there is a need for intervention by the government in the interest of the people. Conservative Republicans have leaned toward the view of leaving things alone, or the classic laissez-faire attitude. They believe in a small-sized government that does little for individuals. But probably liberals and conservatives alike would agree that most of the goals listed need some help from the government (public policy) to be achieved.

充分就业

Full Employment

充分就业的概念具体指经济能够利用所有愿意工作、准备工作的个人。在收集就业数据时，只有那些为了获得报酬而工作的人才被统计为就业者。那些失业但正在寻找工作的人被视为失业者，但这两类人都是劳动力的一部分。学生和家庭主妇既不被统计为就业者，也不被统计为失业者。他们不被视为劳动力的一部分。充分就业的目标并非完全就业（零失业），因为总有一部分劳动力正在换工作或无法工作。充分就业的目标实际上是低失业率，大约在4%到5%之间。美国劳工统计局每月都会在全国范围内进行随机调查，以估计民间劳动力的规模和失业人数。并以此为基础计算失业率。例如，要计算1997年的失业率，失业人数670万除以构成平民劳动力总人数1.36亿，得出的失业率为4.9%。与其他工业化国家相比，这个数字已经相当不错了。然而，在经历了一段经济衰退之后，2010年的全国失业率失业率曾一度超过10%，某些地区和少数族裔的比例甚至更高，目前才开始缓慢下降。2015年春季，失业率达到5.4%。然而，大量人员不再寻找工作，成为永久失业者（表18.1）。

The concept of full employment refers specifically to the ability of the economy to utilize all individuals who are ready and willing to work. In gathering data about employment, only those working in exchange for pay are counted as employed. Those who are out of work but looking for a job are considered unemployed, but both categories of persons are part of the labor force. Students and those keeping house are not counted as either employed or unemployed. They are not considered to be part of the labor force. The goal of full employment is not total employment (zero unemployment) because there is always a segment of the labor force that is changing jobs or is unable to work. The goal of full employment is in reality a low rate of unemployment, approximately between 4 and 5 percent. The Bureau of Labor Statistics does a monthly nationwide random survey to estimate the size of the civilian labor force and the number of the unemployed. On this basis, it calculates the unemployment rate. For instance, to figure the 1997 unemployment rate, the number of unemployed persons, 6.7 million, divided by 136 million, the number of persons constituting the total civilian labor force, produced the rate of 4.9 percent. This rate is very good compared to those of other industrialized countries. Unfortunately, following a period of recession, the national unemployment rate in 2010 had reached over 10 percent, with certain regions and minorities exhibiting even higher percentages, and is only now slowly decreasing. In the spring of 2015, the unemployment rate reached 5.4 percent. However, a large number of people were no longer looking for work, becoming the permanently unemployed (Table 18.1).

图 18.2按照美国概念调整后的十个国家失业率，经季节性调整，2012 年 2 月至 2013 年 6 月

FIGURE 18.2 Unemployed Rates Adjusted to U.S. Concepts, Ten Countries, Seasonally Adjusted, February 2012–June 2013

美国劳工统计局。国际劳动力比较www.bls.gov/fls/intl_unemployment_rates_monthly.htm#Rchart1

Bureau of Labor Statistics. International Labor Comparisons www.bls.gov/fls/intl_unemployment_rates_monthly.htm#Rchart1

大萧条至今仍萦绕在许多美国人的记忆中，它是历史上最严重的大规模失业案例。它源于需求不足，导致经济的生产能力未能得到充分利用。市场未能达到均衡，给很大一部分美国人口带来了灾难。市场失灵促使政府采取干预措施，遵循英国经济学家约翰·梅纳德·凯恩斯的理论，通过公共部门弥补总需求与潜在产出之间的差额。也就是说，政府成为市场的积极参与者，充分增加需求，使其与供给相符。

The Great Depression, still vivid in the memories of many Americans, was historically the most dramatic case of massive unemployment. It resulted from insufficient demand, so that the economy’s productive capacity failed to be utilized. The market did not reach an equilibrium, which resulted in disaster for a large part of the American population. The market failure prompted the government to intervene, following the theories of British economist John Maynard Keynes, by making up the difference between aggregate demand and potential output in the public sector. That is, the government became an active participant in the market, increasing demand sufficiently to coincide with supply.

自大萧条以来，政府一直承认其有责任实现充分就业，正如1946年《就业法》所阐明的那样。政府通过一系列监管、财政和货币政策来实现这一目标，我们将在后面讨论。然而，截至2008年，这些政策均未能阻止经济崩溃，这场衰退如此严重，以至于人们担心它会演变成第二次大萧条。

Since the Depression, the government has acknowledged its responsibility for achieving full employment as expressed by the Employment Act of 1946. It does this through a large number of regulatory, fiscal, and monetary policies that we discuss later. As of 2008, however, none of these instruments were able to prevent an economic meltdown, a recession so deep that it was feared it would become a second Great Depression.

理想的产出组合

Desirable Mix of Output

与充分就业目标相关的是实现经济生产可能性的目标（试图通过生产尽可能多的商品和服务来利用那些愿意工作的人的劳动力）。然而，对产出的关注具有更广泛的含义，包括对产品的数量和质量的关注。困难在于确定大多数人认为可取或有益的产出的确切数量和质量。美国卫生与公众服务部（HHS）这个政府机构提出了一种衡量或定义“正确”产出组合的方法，该机构制定了许多所谓的社会指标。社会指标有助于衡量给定产出水平给人们带来的实际利益水平。这些指标包括衡量住房、空气、教育、电视收视率等质量的指数。尽管社会指标可能有用，但它们数量太多（有165个）且主观性较强。

Related to the goal of full employment is the goal of wanting to achieve the economy’s production possibilities (trying to utilize the labor of those willing to work by producing as many goods and services as possible). The concern with output, however, has broader implications, including a preoccupation with the quantity and quality of what is produced. The difficulty lies in determining the exact quantity and quality of output that a majority of the population would consider desirable or beneficial. One way of measuring or defining the “correct” mix of output has been proposed by a government agency, the Department of Health and Human Services, which has formulated a number of so-called social indicators. Social indicators are helpful in measuring the level of real benefits to the people that results from a given level of output. The indicators include indexes that measure the quality of housing, air, education, television viewing, and so on. As helpful as they may be, social indicators are too numerous (there are 165) and subjective.

图片 18.3在 1929 年开始的大萧条期间，由于需求不足，美国大多数人经历了高失业率，生产力下降，迫使工厂裁员。人们失去了住房，遭受饥荒。政府不得不介入刺激需求，最终再次创造了就业机会。从那时起，政府一直是经济的主要参与者。

IMAGE 18.3 During the Great Depression that began in 1929, the majority of the people in the United States experienced deep rates of unemployment because of a lack of demand, which produced a decline in productivity forcing factories to lay off workers. People lost their housing and experienced hunger. The government had to step in to stimulate demand, eventually creating jobs again. The government has been a major player in the economy ever since.

©埃弗雷特历史

另一种选择是关注产出的决定过程，其论点是，正确的组合是由市场机制表达的民众所期望的组合。然而，需要注意的是，市场并非民主，因为它并非对所有人都同样有效。它为拥有最大购买力的群体谋取最大利益。由于购买力不平等，公共政策再次被要求通过税收和补贴来重新分配购买力。

An alternative is to focus on the process by which output is determined, the argument being that the correct mix is the one the population desires as expressed by the market mechanisms. However, note that the market is not democratic, in the sense that it does not work equally well for all. It works for the greatest good of those with the largest purchasing power. Because purchasing power is unequal, public policy is again called on to redistribute it through taxes and subsidies.

当某种商品或服务没有市场需求，但市场需求存在时，也需要政府干预。例如，需要防火或防范犯罪活动。并非所有个人消费者都有能力或愿意支付此类保障费用，但所有人都能从中受益。

Government intervention is also called for in instances where no market demand exists for a particular good or service, yet the need exists. For instance, there is a need for protection from fires or criminal activity. Not all individual consumers are able or willing to pay for such protection, but all benefit from the service.

最后，政府行动的合理性在于试图控制外部性，即市场体系可能被描述为负面的副作用：交通拥堵、污染、城市衰败等等。当然，这些外部性是没有需求的。市场体系中确实存在这样的问题，但不幸的是，这类问题永远存在。因此，必须在体制外，在公共部门，对它们进行控制。

Finally, government action is justified in the attempt to control externalities, or the side effects of the market system that may be characterized as negative: congestion, pollution, urban decay, and so on. There is, of course, no demand for those externalities in the market system, but unfortunately, there is an eternal supply of them. Therefore, they must be controlled outside the system, in the public sector.

高收入和公平分配

High and Equitably Distributed Incomes

高收入和公平分配的经济目标与前两个目标相关，即充分就业和理想的产出组合。更多的收入来自更多的产出，而产出取决于所有可用资源的有效利用。在市场经济中，收入是根据个人对生产的贡献或他们所拥有的其他生产要素的销售或投资而分配的。人们的工资与他们为总产出增加的价值或他们的边际生产力相关。有些人对生产力的贡献很难定义和衡量。在这种情况下，收入由社会和制度因素以及诸如需要多少钱才能吸引他们离开其他工作等考虑因素决定。

The economic goal of high and equitably distributed incomes is related to both of the preceding ones, that is, to full employment and a desirable mix of output. More income derives from more output, and output depends on the efficient utilization of all available resources. In a market economy, incomes are distributed according to the contribution that individuals make to production or to the sale or investment of other factors of production they own. People’s wages are related to the value they add to total output, or their marginal productivity. Some people’s contributions to productivity are very difficult to define and measure. In such cases, incomes are determined by social and institutional factors and by such considerations as how much money is needed to attract them away from other employment.

收入分配公正问题更多的是政治问题而非经济问题，但是一旦区分了制度的效率和公平，就可以使用公共政策来维持效率并实现公平。然而，公共政策迄今为止未能做到这一点。1969 年至 1996 年间，美国的贫富收入差距开始扩大。到 2012 年，最低的 20% 的家庭（五分之一）只获得了总收入的 3.2%，而 1969 年这一比例为 5.6%。另一方面，最高五分之一家庭的收入份额从 40.6% 上升到 55.1%。最富裕的 5% 的家庭在 1969 年获得了税前总收入的 15.6%，而现在他们的收入份额增加到 22.3%，并掌握了所有财富的 88.9%。请参阅：www.census.gov； “历史收入表”和www.pewresearch.org/fact-tank-2014/01/07/5-facts-about-economic-inequality/。此外，在www.npr.org/blogs/money/2014/10/02/349863761/40-years-of-income-inequality-in-america-in-graphs上也可以找到非常好的图表来说明经济不平等现象。

The question of the justice of the distribution of income is more political than economic, but once the distinction between efficiency and equity of the system is made, public policy can be used to maintain the one while achieving the other. However, public policy has so far failed in this endeavor. The income gap between the rich and the poor began to increase in the United States in the period between 1969 and 1996. By 2012, the lowest 20 percent of families, or one-fifth, received only 3.2 percent of total income, whereas they had received 5.6 percent in 1969. On the other hand, the income share received by the highest quintile rose from 40.6 to 55.1 percent. The top 5 percent of families, who had received 15.6 percent of total before-tax income in 1969, increased their share of income to 22.3 percent and held 88.9 percent of all wealth. See: www.census.gov; “Historical Income Tables” and www.pewresearch.org/fact-tank-2014/01/07/5-facts-about-economic-inequality/. In addition, very good graphs illustrating economic inequality may be found at www.npr.org/blogs/money/2014/10/02/349863761/40-years-of-income-inequality-in-america-in-graphs.

合理的价格稳定

Reasonable Price Stability

保持价格稳定最符合公众利益，首先，因为稳定的价格使生产和消费计划更容易制定；其次，价格变动会影响收入分配。价格和收入并非同步上涨。有些人的收入上涨速度快于他们支付的消费品价格上涨速度，而另一些人则必须以高于收入上涨的速度支付更高的消费品价格。经济增长时，即使是稳定的价格有时也会导致不公平。产量增加意味着人们获得更高的工资，但前提是他们生产的产品的价格不会降低。然而，随着供应的增加，价格通常会下降。

The public interest is best served by preserving the stability of prices, first, because stable prices make the planning of production and consumption easier, and second, because of the effect of changing prices on the distribution of income. Prices and income do not rise in unison. The income of some people rises faster than the prices they pay for their consumer goods, whereas other people must pay higher prices for consumer goods faster than their income rises. When an economy is growing, even stable prices sometimes result in inequities. Increased production means that people receive higher paychecks, but only if the price of the product they are manufacturing is not lowered. However, with an increase in supply, the price is usually lowered.

通货膨胀。正如我们之前所指出的，价格水平部分取决于个人消费者和企业在生产和支出方面的决策。如果他们决定使用更多或更快地使用购买力，需求就会上升。如果需求无法通过增加供应来匹配，不足的产品或服务的价格就会上涨。这种情况被称为通货膨胀，需要公共政策来纠正。价格有时是由于供应变化而非需求增加引起的，例如20世纪70年代发生的情形，当时一个产油国卡特尔将石油价格设定在高位。在这种情况下，公共政策也需要改变市场结构或行为（石油价格大幅下跌，部分原因是过度生产国家的贪婪，部分原因是政府旨在削减消费需求和鼓励国内生产的政策）。

Inflation. Price levels, as we noted previously, are partly determined by the decisions about production and expenditures that are made by individual consumers and firms. If they decide to use more of their purchasing power or to use it more rapidly, demand will go up. If the demand cannot be matched by an increase in supply, prices for the insufficient products or services will rise. This situation is called inflation and requires public policy for correction. Prices sometimes rise as a result of changes in supply that are not triggered by increased demand, as happened in the 1970s, when a cartel of oil-producing nations set the price of oil at high levels. In that case, it was also up to public policy to alter either the structure or the behavior of the market (the price of oil was brought down drastically, partly by the greed of the nations that overproduced and partly by government policies aimed at cutting consumer demand and encouraging domestic production).

年度通货膨胀率图表（2005-2015）

Annual Inflation Rates Chart (2005–2015)

图 18.2

FIGURE 18.2

www.usinflationcalculator.com/inflation/current-inflation-rates/

通货紧缩。价格下跌的情况确实存在。这种情况在大萧条时期很常见，正如前文所述，石油价格也出现了下跌。价格下跌被称为通货紧缩。通货紧缩看似对消费者有利，但却迫使生产商裁减或解雇那些不再需要生产的工人。因此，它们也受公共政策的影响（图18.3）。

Deflation. Situations in which prices go down do exist. They were common in the Great Depression and occurred in the case of the price of oil, as already noted. Price drops are called deflation. They appear to be beneficial to the consumer, but they force producers to lay off or fire workers who are no longer needed for production. Therefore, they too are subject to public policy (Figure 18.3).

充足的增长

Adequate Growth

适度增长的目标反映了对生活水平的关注，因为经济增长意味着生产可能性的扩大。经济的最终目标是为大多数人而不是少数人生产足够的商品和服务——食物、住房、衣服、教育以及免于繁重劳动的自由。同时，随着人口的增长，仅仅为了维持目前的生活水平就需要经济增长。因此，“适度增长”的目标必须包括在人口增长的情况下，仍能保持现有生活水平的足够增长。如果想要提高生活水平，适度增长还必须包括增加普通人可获得的商品和服务数量的愿望。用经济学术语来说，人均国民生产总值 (GNP)（即每个人的国民生产总值）必须增加。

The goal of adequate growth reflects a concern with the standard of living because economic growth implies the expansion of production possibilities. The ultimate goal of an economy is to produce enough goods and services—food, housing, clothing, education, freedom from heavy labor—for many and not just for the few. At the same time, with population growth, economic growth is needed simply to maintain present living standards. Hence, the goal of “adequate growth” must include sufficient growth to maintain current standards of living despite a growing population. If an improvement in the standard of living is wanted, adequate growth must also include a desire to increase the amount of goods and services available to the average person. In economic terms, the gross national product (GNP) per capita (meaning for each individual) must be increased.

GNP 以及目前更常用的国内生产总值（GDP）都是计算经济产出的方法。国民生产总值是生产要素（土地、劳动力、资本）和美国人的企业家精神所生产的总产出，不管这些资源位于何处——美国境内还是境外。GDP 包括在美国境内使用美国或外国提供的资源生产的商品和服务的总产出以及所有收入。换句话说，日本本田在美国的工厂生产的汽车将计入美国 GDP，但美国福特在法国的工厂的利润将不包括在其中。这些利润将包含在 GNP 中。然而，GDP 和 GNP 数字并没有太大差别。它们只是衡量经济的两种不同方式。

The GNP, as well as the currently more commonly used gross domestic product, or GDP, are ways of calculating the output of the economy. The gross national product is the total output produced by the factors of production (land, labor, capital) and entrepreneurship of Americans, regardless of where these resources are located—in the United States or abroad. The GDP consists of the total output of goods and services produced within the limits of the United States, by American or foreign-supplied resources, as well as all income earned. In other words, the cars produced by a Japanese-owned Honda plant in the United States would be counted in the American GDP, but the profits from an American-owned Ford plant in France would be excluded from it. Those profits would be included in the GNP. GDP and GNP figures do not differ by a great deal, however. They represent simply two different ways of measuring the economy.

很难确定国民生产总值（GNP）或国内生产总值（GDP）的增幅达到多少才算合适。例如，自20世纪50年代以来，国民生产总值增长了一倍多，但民意调查持续显示，人们对现状的满意度并不比过去高。普遍共识似乎是，4%的增长率是理想的，这意味着实际国民生产总值每18年翻一番。然而，由于经济疲软，2009年的增长率却萎缩至-2.4%（估计值）。（到2010年，GDP已攀升至2.8%，预计2015年为2.2%。参见：www.bea.gov/newsreleases/national/gdp/gdpnewrelease.htm。）

It is difficult to determine how much of an increase of the GNP or of the GDP can be considered adequate. For example, the GNP has more than doubled since the 1950s, yet polls continue to show that people are no more satisfied with what they have now than they were then. The consensus seems to be that a growth rate of 4 percent is desirable, a rate that would double real GNP every 18 years. In 2009, however, the growth rate shrank to –2.4 (estimate) as a result of the weakness in the economy. (By 2010, the GDP had climbed to 2.8 percent, and the estimate for 2015 is 2.2 percent. See: www.bea.gov/newsreleases/national/gdp/gdpnewrelease.htm.)

提高国民生产总值（GNP）和人均GDP意味着生产力的提高。必须扩大资本设备存量，以便劳动力能够利用更多的厂房和设备。在这方面，公共政策最有可能采取政府干预的形式，以刺激投资增长。2015年人均GDP估计为56,421.39美元。

Raising GNP and GDP per capita involves increases in productivity. The stock of capital equipment must be expanded so the labor force can avail itself of more plants and equipment. Public policy here is most likely in the form of government intervention to stimulate increased investment. The GDP per capita for 2015 is estimated to be $56,421.39.

资本和劳动力资源的质量而非数量对经济增长至关重要。投资于改进的机械设备显然可以提高生产可能性。同样，劳动力的质量也会影响经济增长，因为劳动力受教育程度越高、技能越高，其生产力就越高。人力资本投资与物质资本投资同等重要。当政府鼓励技术研发，并为提高劳动力教育和培训的数量和质量提供补贴时，公共利益就得到了满足。

The quality, and not just the quantity, of capital and labor resources is important in economic growth. Investing in improved machinery and equipment obviously increases production possibilities. Similarly, the quality of the labor force affects economic growth in the sense that the more educated and highly skilled the labor force is, the more productive it can be. Investment in human capital is just as important as investment in physical capital. The public interest is served when government encourages research and development of technology, and if it subsidizes efforts at increasing the quantity and quality of education and training of the labor force.

从GDP来看，美国非常成功。事实上，截至2015年，其GDP估计为18.41万亿美元。许多发达国家也拥有同样出色的GDP：中国GDP增长率为7.4%，达17.63万亿美元；日本GDP约为4.72万亿美元，增长率为2%；德国GDP为3.227万亿美元，增长率仅为0.5%；英国GDP为2.1378万亿美元，增长率为1.4%。（以上数据由美国中央情报局（CIA）估算：www.cia.gov/library/publications/the-world-factbook。）

The United States has been very successful when judged on the basis of its GDP. In fact, its GDP as of 2015 is estimated to be $18.41 trillion. A number of developed countries have similarly stellar GDPs: China, with a growth rate of 7.4 percent and a GDP of $17.63 trillion; Japan, with approximately $4.72 trillion and a growth rate of 2 percent; Germany with $3.227 trillion even with a growth rate of 0.5 percent; the United Kingdom with $2.1378 trillion and a growth rate of 1.4 percent. (The above figures are estimates by the CIA: www.cia.gov/library/publications/the-world-factbook.)

另一方面，发展中国家的情况则截然不同。布基纳法索是世界上最贫穷的国家之一，GDP 为 300.8 亿美元，人均 GDP 仅为 1700 美元。如此严重的经济不平等在世界范围内造成了诸多问题，我们将在下一章中探讨这一点（美国中央情报局，《世界概况》，2014 年）。

The developing countries, on the other hand, tell a vastly different story. Burkina Faso, one of the poorest countries of the world, has a GDP of $30.08 billion, with a per capita GDP of only $1,700. Such gross economic inequities create problems in the world arena, as we see in the next chapter (CIA, The World Factbook, 2014).

总而言之，经济目标的实现似乎至少需要一定程度的政府干预。然而，这种干预并非没有副作用，例如政府本身的过度扩张。政府权力的扩张威胁着传统上属于国家和/或个人的自由。更实际地说，它导致了私营部门和公共部门之间的竞争，而理想情况下，两者应该相互补充。

In conclusion, economic goals seem to require at least a degree of government intervention for achievement. Such intervention, however, is not without side effects, such as the inordinate growth of government itself. An increase in government power threatens freedoms that have traditionally belonged to the states and/or individuals. In more practical terms, it produces competition between the private and the public sectors, whereas ideally the two should complement one another.

我们需要公共政策，甚至需要协调那些有时相互冲突的经济目标。公共政策必须力求实现相互冲突的目标中最有益的目标，但我们应该意识到，公共政策不可能完美无缺。它掌握在人们手中，受制于人性的弱点。因此，它并不总是用于公共利益，而可能被当权者的私人利益所利用。

We need public policy, even to mediate among the economic goals, which at times conflict with one another. Public policy must seek to achieve the most useful of the conflicting goals, but we should be aware that public policy cannot be perfect. It is in the hands of people, subject to human weaknesses. Therefore, it is not always used in the public interest but may be diverted to the private interest of those who hold power.

公共政策工具：财政和货币

Instruments of Public Policy: Fiscal and Monetary

政府究竟会运用哪些政策来改变市场行为，以实现那些仅靠市场机制无法实现的经济目标呢？一般来说，最常用的手段包括财政措施、货币措施和直接监管。

Exactly what kinds of policies does the government use to alter market behavior in its attempt to achieve the economic goals that the market mechanisms alone are unable to achieve? In general terms, the most frequent instruments include fiscal actions, monetary actions, and direct regulation.

2007-2015年实际GDP增长

Real GDP Growth, 2007–2015

图 18.2 2007–2015 年实际 GDP 增长

FIGURE 18.2 Real GDP Growth, 2007–2015

经济分析局www.whitehouse.gov/blog/2015/05/29/second-estimate-gdp-first-quarter-2015

Bureau of Economic Analysis www.whitehouse.gov/blog/2015/05/29/second-estimate-gdp-first-quarter-2015

财政政策可以定义为政府运用公共支出和税收权力来改变经济结果。财政政策包括政府关于征税额度、对象以及是否以及如何使用税收收入的决策。美国宪法第一条赋予国会征税和支出税收收入的权力。因此，联邦政府现在每年征收和支出数十亿美元的税收。

Fiscal policy may be defined as the use of public expenditures and taxation powers by the government to change the outcomes of the economy. Fiscal policy consists of decisions by the government about how much and whom to tax and whether and how to spend tax revenues. The power to tax and spend revenues was given to Congress by the Constitution of the United States in Article I. As a result, the federal government now collects and spends billions of dollars every year.

税收上缴政府的主要结果是购买力从私营部门转移到公共部门。公共部门对总需求的影响力随之增大，总需求是任何特定时期内整个经济体的计划支出或预期支出总额。此外，在决定是否支出税收收入时，政府会影响产出的水平和结构，重新分配收入，并影响价格稳定和增长。虽然部分民众认为政府在某些福利上支出过多，但另一些人则认为支出不足。例如，相当一部分人无力承担医疗保险。一些立法者和奥巴马政府认为，政府应该为所有人提供这种保险，而不仅仅是为可以享受联邦医疗保险的65岁以上的人提供。然而，国会中的保守派仍然坚持认为政府最好不要插手医疗保健。目前，尽管医疗保健立法已经通过，但这个问题仍在争论中。

The money turned over to the government in taxes has as its chief result the transfer of buying power from the private to the public sector. The public sector then acquires greater influence over aggregate demand, which is the total planned or desired spending in the economy as a whole in any given period. Further, in deciding to spend or not to spend tax revenues, the government affects the level and mix of output, redistributes incomes, and affects price stability and growth. Although some segments of the population believe that the government spends too much on certain benefits, others believe it does not spend enough. For instance, a substantial minority of people could not afford health-care insurance. Some legislators, and the Obama administration, believed that the government ought to provide such insurance to all, not just to those over 65 who can benefit from Medicare. However, conservatives in Congress still maintain that it is better if the government stays out of health care. Currently, despite health-care legislation having been passed, the issue continues to be debated.

财政政策以两种方式改变经济结果：如果政府决定增加支出，GDP就会上升；如果政府选择减少支出，总需求和总产出都会减少。政府的购买力来自收入和信贷。在这方面，政府与其他市场参与者相似。然而，政府有一个优势：它可以通过提高税收来增加收入。政府拥有征税的能力，这使其不仅能够影响GDP的水平，还能影响其内容。如果政府向消费者征税，消费者的购买力显然会下降，而政府的购买力则会增强。如果政府向企业征税，企业的投资潜力就会下降，而政府的投资潜力就会增强。如果政府减税，消费者的购买力就会增强，从而增加需求，刺激经济。至少，这应该是它应该发挥作用的方式。

Fiscal policy alters economic outcomes in two ways: if the government decides to spend a lot, the GDP goes up; if it chooses to spend little, both aggregate demand and output are small. The government’s purchasing power derives from revenues and credit. In this, the government resembles other market participants. However, the government has one advantage: it can increase its income (revenues) by raising taxes. Being able to levy taxes makes it possible for the government to affect not only the level of GDP but also its content. If the government levies taxes on consumers, obviously consumers will have less purchasing power, whereas the government will have more. If it levies taxes on businesses, they will have less potential for investment, and the government will have more. If the government cuts taxes, consumers have more purchasing power, which raises demand, thus stimulating the economy. At least, this is the way it is supposed to work.

价格和就业稳定器的作用

The Function of Price and Employment Stabilizers

财政政策最常被提及的是其稳定功能，即实现并维持充分就业和物价稳定的工具。当政府进行支出时，它会扩大总需求，从而使经济重回充分就业的轨道。政府支出还会刺激消费支出，因为政府支出的资金最终会成为部分消费者的收入；这些资金随后又被重新投入流通，用于支付消费者所需和想要的商品和服务。因此，政府支出会带来消费增加的效果，并最终转化为总需求的增加。这个过程被称为乘数效应。

Fiscal policy is most often referred to in its function of stabilization, as a tool for achieving and maintaining full employment and stable prices. When the government engages in expenditures, it expands aggregate demand and so brings the economy back toward a position of full employment. Government spending also results in more consumer spending because the money the government spends ends up being some consumers’ income; it is then put back into circulation to pay for goods and services the consumers need and want. Government spending, then, has the effect of higher consumption and ultimately translates into higher aggregate demand. This process is called the multiplier effect.

政府支出和乘数效应刺激了商业和投资，因为实际销售额和销售预期都提高了。当企业投资时，总需求再次扩大，充分就业再次成为现实（这被称为诱导投资）。

Government spending and the multiplier effect stimulate business and investment because both actual sales and sales expectations are raised. When firms invest, aggregate demand is again expanded, and full employment becomes once more a reality (this is called induced investment).

财政政策也用于抑制过度的总需求。在这种情况下，消费者和企业会加快支出速度，利用信贷来增强购买力。其结果是供给减少，进而推高商品和服务价格——简而言之，就是通货膨胀。在这种情况下，政府的行动与刺激总需求所需的行动背道而驰。也就是说，政府减少了支出，导致负面的乘数效应。最终，结果是销售额和收入下降。在这种情况下，消费者也会抑制支出，由于商品滞留在货架上而不是出售，价格也会下降。此外，政府还可以提高税收，进一步削弱消费者、企业或两者的购买力。

Fiscal policy is also used to curb excessive aggregate demand. In this situation, consumers and firms speed up their rate of spending, using credit to bolster their purchasing power. The results are decreases in supply and consequently higher prices for goods and services—in short, inflation. Here, government action is the reverse of that needed to stimulate aggregate demand. That is, the government reduces its spending, leading to negative multiplier effects. Ultimately, the result is a drop in sales and incomes. Consumers also curb their spending in this situation, and prices drop as goods remain on the shelves instead of being sold. In addition, the government can raise taxes, taking away even more purchasing power from consumers, businesses, or both.

联邦预算

The Federal Budget

如前所述，政府在稳定经济的过程中，会根据形势需要定期增加或减少支出。因此，联邦预算经常失衡。当政府必须增加支出时，其支出很可能超过收入，这被称为赤字支出。政府被迫借款来弥补支出和收入之间的差额。当政府从私营部门或银行系统借款时，联邦财政部就会发行（即出售）债券，从而形成公共债务。

As observed earlier, in its function of stabilizing the economy, the government periodically is called on to spend either more or less, as the situation demands. As a result, the federal budget is often out of balance. When the government must spend more, its expenditures are likely to be larger than its revenues, and it is said to engage in deficit spending. The government then is forced to borrow money to make up the difference between expenditures and receipts. When it borrows money, either from the private sector or from the banking system, the Federal Treasury issues—that is, sells—bonds, thus establishing the public debt.

当政府支出少于收入时，就会出现预算盈余。这种情况确实罕见，但在20世纪90年代的大部分时间里，我们一直处于这种情况。然而，如果要使财政政策有效，政府必须能够自由地以任何方式干预经济。因此，在任何一年实现预算平衡，实际上并非公众应该期待的事情。然而，长期过度负债会拖累经济。

When it spends less than it takes in in revenues, the government has a budget surplus. This is indeed a rare occurrence, but we were in such a situation through most of the 1990s. If it is to be effective in its fiscal policy, however, the government must be free to intervene in either way in the economy. The achievement of a balanced budget in any given year, then, really is not something the public should expect. However, excessive debt, carried over a prolonged time, is a drag on the economy.

在本届政府的领导下，政府面临巨额赤字。部分原因是始于2000年并在几年后加剧的经济急剧放缓，部分原因是2001年9月11日恐怖袭击以及在阿富汗和伊拉克的两次军事行动的余波，部分原因是2002年实施的减税政策。旨在刺激经济的预算赤字，自2004年以来，政府一直处于赤字状态。由于预算赤字是通过借款来弥补的，子孙后代将不得不为这些债务支付利息。截至2014年，实际赤字为4830亿美元，较上一年大幅下降，创下2008年以来的最低水平。至于联邦债务总额，目前约为19.943万亿美元，平均每个美国人负债64,058美元。而且赤字还在持续增长（参见：www.theusdebtclock.com）。

In the current administration, the government is running a huge deficit. Partly as a result of a sharp economic slowdown that began in 2000 and intensified several years later, partly because of the aftershocks of the September 11, 2001, terrorist attack and the two military actions in Afghanistan and Iraq, and partly as a result of tax cuts that were intended to stimulate the economy, the government has been running a deficit since 2004. Because budget deficits are funded with borrowed money, future generations will have to pay interest on this debt. As of 2014, the actual deficit was $483 billion, a precipitous drop from the preceding year. It is the lowest it has been since 2008. As for the gross federal debt, it stands at approximately $19.943 trillion, indebting each American to the tune of $64,058. And the deficit is growing every second (see: www.theusdebtclock.com).

财政决策

Fiscal Decision Making

财政政策决策由国会和总统共同制定，并由行政部门执行。然而，预算并非每年都重新制定。相反，许多关于支出的决策是前几年制定的或延续下来的。这些被称为不可控支出，它们具有限制当前支出的效果。

Fiscal policy decisions are made jointly by Congress and the president and are implemented by the executive branch. The budget is not newly established each year, however. Rather, many decisions about expenditures are built in or carried over from previous years. These are called uncontrollable expenditures, and they have the effect of limiting current expenditures.

预算中由当前支出或非支出决策构成的部分被称为可自由支配支出。由于预算中存在不可控的支出，任何一年的可自由支配支出都低于其应有的水平。另一方面，不可控支出也起到了自动的、内置的稳定器的作用。例如，自1935年以来一直是预算一部分的失业保险金，在失业率高的年份会自动增加。因此，当总需求过低，无法雇佣现有劳动力时，联邦支出就会增加，这是理所当然的。

The portion of the budget that consists of current decisions about spending or nonspending is referred to as discretionary spending. The discretionary spending in any given year is smaller than it could be because of the uncontrollable expenditures built into the budget. On the other hand, uncontrollable expenditures also act as automatic, built-in stabilizers. For instance, unemployment insurance benefits, which have been part of the budget since 1935, automatically increase in a year when unemployment is high. As a result, federal spending is increased, as it ought to be when aggregate demand is too low to employ the available workforce.

图 18.2总统提议的可自由支配支出（2015 财年）

FIGURE 18.2 President’s Proposed Discretionary Spending (Fiscal Year 2015)

管理和预算办公室

Office of Management and Budget

货币政策

Monetary Policy

财政政策是政府试图改变经济结果以符合公共利益的一种选择。另一种选择是货币政策，它利用个人和企业的收入和信贷影响经济结果。具体而言，货币政策是指利用货币和信贷控制来影响经济结果。

Fiscal policy is one alternative open to government in its attempts to change the outcomes of the economy to correspond to the public interest. Another is monetary policy, which avails itself of the influence of income and credit available to individuals and firms. Specifically, monetary policy refers to the use of money and credit controls to affect economic outcomes.

银行

Banks

如前所述，所有市场活动都依赖于消费者和企业之间购买力的转移，即所谓的循环流动。以现金或支票形式存在的购买力与经济中的货币供应量直接相关。商业银行可以通过发放信贷来影响货币供应量。他们只需向借款人的支票账户存入资金即可，无论借款人是个人消费者还是企业。借款人像使用现金一样使用这些信贷来购买商品和服务。商品和服务的卖家并不关心他们所售商品的付款方式是买家的储蓄还是银行的资金。银行通过放贷，能够扩大经济中的货币供应量。

As noted previously, all market activity depends on the transfer of purchasing power between consumers and firms in what is called the circular flow. Purchasing power, in the form of cash or checks, is related directly to the supply of money in the economy. Commercial banks can affect the supply of money by extending credit. They do this simply by adding to a borrower’s checking account, whether that borrower is an individual consumer or a business firm. The borrower uses this credit as if it were cash to buy goods and services. Sellers of goods and services do not care whether what they sell is being paid for with a buyer’s savings or with a bank’s money. Banks, by lending money, are able to expand the supply of money in the economy.

然而，这种能力并非无限。银行必须保留一些储备，以防其客户想要提取或转移其持有的资产。作为监管职能的一部分，政府确保为此类突发事件预留一些储备。银行会计算出它们需要多少储备，并利用这些超额储备发放贷款，从而扩大货币供应量。

This ability, however, is not unlimited. A bank must keep some reserves in case some of its customers want to withdraw or transfer their holdings. As part of its regulatory function, the government makes certain that some reserves are kept aside for such eventualities. Banks try to calculate how much they need in reserve and use their excess reserves to make loans and thus expand the money supply.

决定银行发放贷款能力的是准备金率，即银行必须保留用于提取、转账和政府监管的存款比例。准备金与存款的比率越低，银行增加市场可用货币供应量的能力就越强。

What determines a bank’s ability to make loans is the reserve ratio, or the proportion of deposits that must be retained for withdrawal, transfer, and government regulation. The lower the ratio of reserves to deposits, the greater is the bank’s ability to increase the money supply available to the market.

利率

Interest Rates

消费者和/或企业的借款意愿各不相同。有时银行可以挑选他们想借钱的对象。其他时候，接受贷款的人很少。是否借款的决定受借款成本或利率的影响。显然，当利率较低时，更多的消费者和企业想要借钱。因此，通过提高或降低利率，银行能够刺激更多或更少的借款，从而再次影响循环流动中的购买力。当然，在适当的时间提高或降低利率是一门艺术，需要非常明智和有远见的人。在最近的经济危机中，一些批评人士指责时任美联储主席艾伦·格林斯潘将利率维持在过低水平的时间过长。然而，这只是对银行的批评之一。

The desire of consumers and/or firms to borrow money varies. Sometimes banks can pick and choose those to whom they want to lend. At other times, there are few takers. The decision about whether or not to borrow is affected by the cost of borrowing, or the rate of interest. Obviously, when interest rates are low, more consumers and firms want to borrow money. Consequently, by raising or lowering interest rates, banks are able to stimulate greater or lesser borrowing, again affecting the amount of purchasing power in the circular flow. Of course, raising or lowering interest rates at the right time is an art requiring a very wise and farsighted individual. In the latest economic meltdown, a number of critics have accused the then-Fed Chairman Alan Greenspan of keeping rates too low for too long. However, this is only one criticism of the banks.

监管银行

Regulating Banks

由于银行体系对经济的巨大影响，对其进行一定程度的控制符合公众利益。政府通过监管现有银行的数量、准备金率以及利率来影响银行提供的信贷条款和额度。

Because of the enormous effect the banking system has on the economy, it is in the public interest to have some control of it. The government influences the terms and amount of credit that banks make available by regulating the number of banks in existence, the ratio of their reserves, and the rate of interest they can charge.

政府也试图防止银行倒闭，因为过去银行倒闭引发的恐慌曾导致严重的经济混乱。银行行为受到许多政府机构的监管。美联储是监管银行和货币供应量的最重要的公共机构。其主要职能是控制银行准备金，以控制货币供应量的扩张或收缩。联邦存款保险公司在银行倒闭的情况下为储户提供最高 25 万美元的损失保障（此前最高为 10 万美元，但在金融危机期间有所增加）。如前所述，由于 2007-2008 年金融危机引发的经济衰退，银行也受到了大量批评。许多银行，无论大小，都破产了，有些被并入投资公司，还有一些从投资公司分离出来。政府不得不救助那些被认为“大到不能倒”的大型银行、投资公司和保险公司。银行被指控向个人和企业发放高风险贷款（次级贷款），加剧了房地产市场崩盘，并导致大量房屋被取消抵押品赎回权。回想起来，人们认为监管不足导致许多银行和投资公司从事高风险业务，而政府正试图通过更严格的监管立法来避免这种情况在未来再次发生。

The government also tries to prevent banks from failing, as panics resulting from failures have in the past led to great economic disruptions. Bank behavior is regulated by a number of government agencies. The Federal Reserve Bank is the most important public agency regulating banks and the money supply. Its chief function is in controlling bank reserves in the expansion or contraction of the money supply. The Federal Deposit Insurance Corporation protects depositors in case of bank failure against losses of up to $250,000 (it was up to $100,000, but the amount was increased during the financial crisis). As noted earlier, the banks have also come under a great deal of criticism as a result of the recession following the financial crisis that began in 2007–2008. A number of banks, large and small, went bankrupt, others were merged into investment firms, and still others were separated from investment firms. The government had to bail out the largest banks, investment firms, and insurance companies that were considered too big to fail. Banks have been accused of making risky loans to individuals and firms (subprime loans), deepening the real estate crash, and forcing a large number of foreclosures. In retrospect, it is felt that insufficient regulation allowed many banks and investment firms to engage in risky procedures, a fact that the government is trying to avoid from happening in the future by passing stricter regulatory legislation.

重申一下，美联储（简称“美联储”）的职责是货币供应的主要监管者。它试图调节货币供应，以避免支出不足或过度，从而确保货币循环的平稳运行。美联储通过减少银行超额准备金或提高利率来履行其监管职能。美联储通过这些措施削弱银行的放贷能力，从而扩大货币供应量。另一方面，通过增加银行超额准备金或降低利率，则会达到相反的效果。

To repeat, the role of the Federal Reserve Bank (called “the Fed” for short) is that of principal regulator of the money supply. It tries to regulate the supply of money in a way that avoids either insufficient or excessive spending to ensure the smooth working of the circular flow. This regulatory function is performed by either reducing excess bank reserves or by raising interest rates, by which actions the Federal Reserve diminishes the ability of banks to make loans and in so doing expand the money supply. On the other hand, by increasing excess bank reserves or lowering interest rates, the opposite effect is obtained.

美联储可用的工具之一是有权为所有成员银行设定最低准备金要求。也就是说，银行必须留出美联储规定的准备金比例，剩余部分只能用于发放贷款。美联储还充当中央银行或银行家的银行，成员银行可以通过提供一些抵押品（政府债券或本票）从其借款。然而，美联储也会向成员银行收取一定的利率，称为贴现率。

One of the tools at the disposal of the Fed is the authority to establish minimum reserve requirements for all member banks. That is, banks must set aside the percentage of reserves that the Fed requires and can use only the remainder to make loans. The Fed also acts as a central or banker’s bank, from which member banks can borrow on presenting some collateral (in the form of government bonds or promissory notes). The Fed, however, also charges an interest rate—called the discount rate—for lending to member banks.

改变银行准备金流入和流出的最重要工具是美联储买卖政府证券的能力，这一程序称为公开市场操作。通过购买证券，美联储增加了流通中的货币量。这提高了银行准备金，扩大了放贷能力。公开市场买入还会降低利率，再次鼓励借贷增加。通过出售证券，美联储减少准备金，随之而来的是放贷能力的下降和利率的上升。

The most important tool for altering the flow of reserves into and out of banks is the Fed’s ability to buy and sell government securities, a procedure called open-market operations. In buying securities, the Fed increases the amount of money in circulation. This raises bank reserves, expanding lending capacity. Open-market buying also lowers interest rates, again encouraging increased borrowing. In selling securities, a reduction in reserves results—with its attendant reduction in lending capacity and an increase in interest rates.

只要满足两个条件，货币政策就能有效地稳定经济。首先，利率必须对银行储备金的变化做出反应。然而，银行可能认为低于特定利率的贷款无利可图，即使美联储向其提供储备金，也不会降低利率。其次，债务和支出决策必须对利率变化做出反应。在经济淡季，企业几乎没有动力扩大产能，也不会寻求低利率。尽管有“廉价资金”，它们也不会借款。

Monetary policy is effective in stabilizing the economy as long as two conditions are met. First, interest rates must be responsive to alterations in bank reserves. However, banks may not find it profitable to make loans below a specific rate of interest and will not lower interest rates, even if the Fed supplies them with reserves. Second, debt and expenditure decisions must be responsive to interest-rate changes. In a slack period, firms have little incentive to expand production capacity and do not seek low interest rates. They do not borrow despite “cheap money.”

货币政策由独立自主的联邦储备系统制定和执行。其决策不受国会或总统的审查。该系统由12家地区性银行组成，并由其理事会（其成员由总统任命）协调。

Monetary policy is formulated and implemented by the Federal Reserve System, an independent and autonomous agency. Its decisions are not subject to either congressional or presidential review. The system consists of 12 regional banks and is coordinated by its board of governors (whose members are appointed by the president).

收入政策

Incomes Policy

除了运用货币和财政政策引导经济实现社会经济目标之外，政府还拥有大量其他监管权力。其中一项名为收入政策的监管干预措施在20世纪60年代和70年代变得至关重要，当时通货膨胀和失业这两个经济问题并存。财政和货币政策用于预防这些问题的政策措施，却被发现以牺牲另一个问题为代价，造成了一个问题。当限制总需求以压低价格时，往往会造成失业。当增加总需求以实现充分就业时，价格就会上涨，从而引发通货膨胀。所谓的菲利普斯曲线表明了充分就业与通货膨胀之间的冲突，该曲线表明较低的失业率通常伴随着较高的通货膨胀率。这个问题也被称为充分就业与通货膨胀之间的权衡。

In addition to the monetary and fiscal policies that it utilizes to direct the economy toward the fulfillment of the economic goals of the society, the government also disposes of a large number of other regulatory powers. One such regulatory intervention, called incomes policy, became important during the 1960s and 1970s when two economic problems—inflation and unemployment—coexisted. The fiscal and monetary policies used to prevent these problems had been found guilty of creating one at the expense of the other. When aggregate demand is restricted to keep prices down, unemployment is often created. When aggregate demand is increased to achieve full employment, prices are pushed up, creating inflation. The conflict between full employment and inflation has been shown by the so-called Phillips curve, which illustrates that lower rates of unemployment are generally accompanied by higher rates of inflation. This problem is also called the full employment–inflation trade-off.

收入政策试图利用工资和价格控制来引导经济结果。当然，所有政府行动都会对工资和价格产生一定影响，但此类行动是间接的，因为它需要经过市场过程，因此受供求规律的制约。

Incomes policy tries to use wage and price controls to direct economic outcomes. All government action, of course, has some effect on wages and prices, but such action is indirect because it goes through the market process and is, therefore, subject to the laws of supply and demand.

然而，收入政策试图通过设定或限制特定工资和价格，以直接改变市场结果——换句话说，政府冻结工资、薪金、股息、租金等，以抑制通货膨胀。大多数情况下，此类冻结是自愿的，但有时也可能是法定的，即以立法的形式。收入政策的决定会影响收入分配，因为（产品或服务的）价格是决定为生产提供资本的人们（制造商或服务业雇主）收入的基本因素，而工资是决定为生产提供劳动力的人们收入的基本因素。

Incomes policy, however, attempts to change market outcomes in a direct fashion, by either establishing or limiting specifically determined wages and prices—in other words, the government freezes wages, salaries, dividends, rents, and so on to keep inflation down. Most of the time such freezes are voluntary, but on occasion they may be statutory, that is, in the form of legislation. The decisions of incomes policy affect the distribution of income because prices (of products or services) are a basic determinant of the incomes of people who supply capital for production (manufacturers or service employers), and wages are the basic determinant of the incomes of people who supply labor for production.

收入政策很少被使用；实际上，只有在货币和财政政策未能实现充分就业和合理价格稳定的目标时，才会使用。原因在于收入政策存在某些缺陷。它往往会改变市场对供求状况的响应能力。它还可能导致收入分配不均，因为某些群体在工资、物价或生产力方面总是落后于其他群体。因此，它只能被选择性地使用。

Incomes policy is seldom used; actually, it is used only when monetary and fiscal policies fail to achieve the goals of full employment and reasonable price stability. The reason is that incomes policy has certain drawbacks. It tends to change the responsiveness of the market to demand-and-supply conditions. It may also lead to inequality of income distribution because some groups are always behind others in wages, prices, or productivity. As a result, it is only used selectively.

经济问题和政府应对

Economic Problems and Government Response

上述政府行动试图解决或缓解的最紧迫的经济问题包括以下内容。

The most pressing economic problems that the governmental actions described try to solve or mitigate include the following.

萧条或严重衰退

Depression or Severe Recession

当产出和就业水平都严重下降时，应对之策是扩大总需求，即让消费者在商品和服务上花钱。刺激消费可以通过减税、增加政府支出和扩大货币供应量来实现。公共部门和私营部门都必须参与其中，但重要的是，货币和财政领域内的一系列措施应该能够快速产生刺激作用；这也是奥巴马政府推出大规模刺激计划以刺激就业的原因之一，该计划旨在将资金投入工人的口袋，让他们能够购买必需品和其他支出。问题在于，其中一些解决方案并非总是有效。当政府像现在这样面临巨额赤字时，它无力承担增加支出或减税的后果，而这些举措会减少政府的收入。

When both the output and the levels of employment are seriously lowered, the prescription is to expand aggregate demand, that is, have consumers spend money on goods and services. Spending may be stimulated by cutting taxes, increasing government expenditures, and expanding the money supply. Both the public and the private sectors must be involved, but the important point is that a variety of actions within the monetary and fiscal spectrum should produce a rapid stimulus; that was one of the reasons why the Obama administration released a large stimulus package as an incentive to create jobs, thus putting money into workers’ pockets so they could spend it on necessities and extras. The problem is that some of these solutions cannot always be used. When the government is running a huge deficit, as it is now, it cannot afford to increase its spending or cut taxes, actions that decrease its revenues.

过度需求与通货膨胀

Excessive Demand and Inflation

在这种情况下，公共政策必须力求抑制总需求，直到供给跟上。这方面的措施应包括减少货币供应量（信贷难以获得）、削减政府支出（削减服务）并提高税率，或许还可以采取暂时冻结或控制价格和工资的措施。

In this situation, public policy must aim to restrain aggregate demand until supply catches up. The actions here should include a reduction in the money supply (hard to obtain credit), a reduction in government spending (cutting services) together with an increase in tax rates, and perhaps a temporary freeze or a price and wage control program.

图片 18.4从 2008 年开始，严重的经济衰退袭击了美国（一些评论员认为这与大萧条有相似之处），迫使许多人失去了家园。

IMAGE 18.4 Beginning in 2008, a severe recession hit the United States (some commentators saw similarities to the Great Depression), forcing many people to lose their homes.

通货膨胀和失业

Inflation and Unemployment

这是最难通过政策制定来修复的局面。事实上，如果刺激总需求以降低失业率，物价就会上涨，从而引发通货膨胀。如果通过财政和货币约束来缓解通胀压力，失业问题就会变得更加严重。

This is the most difficult situation to be repaired by a formulation of policy. In fact, if aggregate demand is stimulated to reduce unemployment, prices are pushed up, creating inflation. If inflationary pressures are alleviated through fiscal and monetary restraints, unemployment becomes a more severe problem.

不幸的是，这种情况并非罕见。这种情况需要巧妙的手段，或者说“微调”才能解决。这要求公共政策制定者在市场的不同领域运用多种政策，或许可以减少某些行业的需求，同时刺激其他行业的需求，甚至改变供给结构。

This situation, unfortunately, is not unusual. It is a situation that demands finesse, or “fine-tuning,” to resolve. It requires that those in charge of setting public policy use a mix of policies in different sectors of the market, perhaps decreasing demand in some industries while stimulating it in others, or even changing the structure of supply.

非竞争性市场加剧了通货膨胀和失业的局面，因为市场权力集中在少数企业或工会手中。在缺乏竞争的情况下，无论生产或劳动能力如何，价格和工资都会随着需求而上涨。在这种情况下，可能需要采取收入政策，甚至反垄断行动，以配合货币和财政政策。

The situation of inflation with unemployment is aggravated by a non-competitive market, where there is a concentration of power in a few corporations, or by labor unions. With lack of competition, prices and wages will go up with demand despite production or labor capacity. In such instances, incomes policy, or even antitrust action, may be necessary in coordination with monetary and fiscal policies.

这种情况，加上经济总产出（我们生产的东西）的下降，被称为滞胀。滞胀在20世纪70年代盛行，当时经济总产出和通货膨胀（即一般价格水平的上涨）出现停滞或收缩。例如，1975年的通货膨胀率为8.9%，失业率则跃升至8.5%。当时，必须找到一个能够增加总供给的政策目标，既能降低通货膨胀，又能增加产出和就业。这项政策源自供给侧经济学理论，本章稍后将对此进行讨论。

This condition, coupled with a decline in the economy’s aggregate output (what we produce), is called stagflation. Stagflation was prevalent in the decade of the 1970s when there was stagnation, or contraction, in the economy’s aggregate output and inflation, or increase in the general price level. For instance, in 1975 inflation was at 8.9 percent, and unemployment had jumped to 8.5 percent. A policy objective had to be found that would increase the aggregate supply, a move that would both lower inflation and increase output and employment. This policy was derived from the theory of supply-side economics, discussed later in the chapter.

商业周期

Business Cycles

宏观经济学特别关注商业周期，即经济扩张和收缩的周期性交替波动，这是美国经济。经济的上升和下降都是以总产出来衡量的。在经济上升期，商品和服务的生产量会增加：21世纪初，我们经历了科技泡沫和房地产泡沫。在经济下降期，总产量会下降：建筑业减少，从2008年开始，大量住宅和商业地产滞销。失业随之而来，就业率直到2013年左右才回升，因为经济上升期是充分就业，而经济下降期则是失业。

Macroeconomics is particularly concerned with business cycles, the periodically alternating waves of economic expansion and contraction that have characterized the American economy. The upswings and downswings are measured in terms of total output. In an upswing there is an increase in the volume of goods and services produced: in the early twenty-first century, we had a technology bubble and a real estate bubble. In a downswing, the total volume of production declines: construction decreased and an abundance of housing and commercial real estate stood unsold beginning with 2008. Unemployment followed and employment did not pick up again until around 2013 because in an upswing, there is full employment; in a downswing, there is unemployment.

尽管美国经济的过往表现辉煌，但其经济周期却一直困扰着它。经济增长从来都不是平稳或持续的；相反，美国经济的增长是一步步向前推进，其间不时出现磕磕绊绊和挫折。为了应对这些挫折的影响，人们提出了许多理论，旨在解释经济的真正运作方式。这些理论认为，一旦我们确切地了解了经济的运作方式，我们就可以采取行动，防止某些情况发生，并促进其他情况的发生。

The U.S. economy has been plagued by business cycles despite the fact that its track record looks spectacular. Growth has never been even or constant; on the contrary, the growth of the U.S. economy has been a series of steps forward, interrupted by stumbles and setbacks. To try to combat the effects of such setbacks, a number of theories have been offered purporting to explain how the economy really works, the idea being that once we know exactly how the economy functions, we can act to prevent some happenings and encourage others.

需求侧理论

Demand-Side Theories

20世纪30年代大萧条之前，政府从未干预经济事务。此前，古典经济学家认为，工业时代的主导特征——增长——将持续保持稳定，最多只会出现一些短暂的混乱，经济理应能够“自我调节”。然而，尽管古典经济学家们抱有乐观态度，大萧条的到来摧毁了他们的信誉，他们的理论也被经济学家约翰·梅纳德·凯恩斯的理论所取代。

Government intervention in the affairs of the economy did not occur before the Great Depression of the 1930s. Up to that time, classical economists had thought that the dominant feature of the industrial era—that is, growth—would continue unperturbed, at most with short-lived dislocations to which the economy was supposed to “self-adjust.” The coming of the Depression, despite the optimism of the classical economists, destroyed their credibility, and their theories were replaced by those of economist John Maynard Keynes.

凯恩斯主义革命。凯恩斯在批判古典理论时，断言私人经济本质上是不稳定的，市场这只看不见的手实际上会放大产出、价格或失业的细微波动。凯恩斯认为，这种市场固有的不稳定性只有通过政府干预才能稳定下来。大萧条并非个例，如果社会继续单纯依赖市场机制，这种情况将会重演。因此，凯恩斯认为，社会不能坐等某种机制自我调节，而必须通过购买更多产出、雇佣更多员工、提供更多收入转移和提供更多资金来“启动泵”。然后，当经济再次起飞并可能过热时，政府必须再次主动降温，例如提高税收、削减支出和减少资金供应。凯恩斯主义理论确实将美国从大萧条中拯救出来，并因此成为政府政策的权威，尽管其他理论也与之竞争。

The Keynesian Revolution. In his denunciation of classical theory, Keynes asserted that, on the contrary, the private economy was inherently unstable, and the invisible hand of the marketplace would actually magnify small disturbances in output, prices, or unemployment. This inherent instability of the marketplace, according to Keynes, could be stabilized only by the intervention of government. The Depression was not a unique event but a situation that would recur if societies continued to rely on the market mechanism alone. Thus, Keynes argued, societies cannot afford to wait for some mechanism to self-adjust but must “prime the pump” by buying more output, employing more people, providing more income transfers, and making more money available. Then, when the economy takes off again and perhaps overheats, government must again take the initiative to cool it down with higher taxes, reductions in spending, and making less money available. Keynesian theory did pull the country out of the Depression and, thus, became a mandate for government policy, although other theories compete with it.

货币主义。另一种需求侧理论关注货币在融资总需求中的作用。该理论认为，由于货币和信贷影响人们购买商品和服务的能力和意愿，如果货币供应量不足，则意味着总需求过大或过小。因此，可能需要调整货币供应量，以使总需求曲线达到预期位置。经济学家米尔顿·弗里德曼赞同这一解释。

Monetarism. Another demand-side theory focuses on the role of money in financing aggregate demand. It is thought that because money and credit affect the ability and willingness of people to buy goods and services, if the correct amount of money is not available, it means that aggregate demand is too great or too small. Thus, a change in the money supply may be needed to move the aggregate demand curve to the desired position. Economist Milton Friedman is associated with this explanation.

供给侧理论

Supply-Side Theories

供给侧理论对商业周期提供了不同的解释。这些理论认为，总供给下降可能导致产出和就业下降，从而导致经济衰退。例如，未能实现充分就业可能是由于生产者不愿以现有价格提供更多商品。这时，可以选择制定并实施能够降低生产成本或以其他方式刺激各个价格水平产出的政策。

A different explanation of the business cycle is provided by supply-side theories. These claim that a decline in aggregate supply may be responsible for downturns by causing output and employment to decline. Failure to achieve full employment, for instance, may result from the unwillingness of producers to provide more goods at existing prices. The option here is to find and implement policies that would reduce the costs of production or otherwise stimulate more output at every price level.

折衷理论

Eclectic Theories

一些对商业周期的宏观解释既不责怪需求方，也不责怪供给方，而是肯定供给和需求都可能导致我们实现或未能实现政策目标。这些解释借鉴了市场双方的观点。

Some macro explanations of business cycles blame neither the demand side nor the supply side but affirm that both supply and demand can cause us to achieve or defeat policy goals. These explanations draw from both sides of the market.

本质上，有三种抵消商业周期的政策选择：通过寻找和使用刺激或抑制总支出的政策工具来移动总需求曲线；通过寻找和实施降低生产成本或刺激更多产出的政策来移动总供给曲线；或者什么也不做，让市场顺其自然。

In essence, there are three policy options for counteracting business cycles: shift the aggregate demand curve by finding and using policy tools that stimulate or restrain total spending; shift the aggregate supply curve by finding and implementing policies that reduce the costs of production or stimulate more output; or do nothing, and let the market take its course.

历史上，这三种政策选项都曾被使用过。在大萧条时期及之后，政府运用财政政策，通过税收和支出权力来改变经济结果。这项政策至今仍是现代经济政策不可或缺的一部分。货币政策，即利用货币和信贷来改变经济结果，正如我们在上一节中所看到的，美联储过去和现在都在使用货币政策。财政政策和货币政策都关注市场的需求侧，而供给侧政策则试图改变总供给曲线。

Historically, all three policy options have been used. During and after the Great Depression, fiscal policy was used by the government to alter economic outcomes through the use of tax and spending powers. This policy is still an integral feature of modern economic policy. Monetary policy, in which money and credit are used to alter economic outcomes, has been and continues to be used by the Fed, as we saw in the preceding segment. Whereas both fiscal and monetary policies focus on the demand side of the market, supply-side policies attempt to shift the aggregate supply curve.

理论与现实

Theory and Reality

理论上，任何经济问题的组合都能通过经济政策的组合得到解决。然而，现实情况并非总能实现经济目标。美国一直保持着高增长率，并实现了较高的生活水平。美国人均收入位居世界前列，尽管一些斯堪的纳维亚半岛和中东国家已追平或超过美国（截至2013年，美国排名第七）。然而，正如我们所见，美国经济仍会周期性地放缓或衰退。社会间歇性地受到高失业率的困扰，尤其是在某些群体中。物价不稳定，尤其是持续上涨，即通货膨胀。收入似乎永远跟不上物价上涨。一些群体对市场体系中收入分配的方式普遍不满。产出质量也受到了质疑。简而言之，经济体系的潜力与现实之间存在着巨大的差距。

In theory, every combination of economic problems has a solution in a combination of economic policies. In reality, however, the economic goals are not always achieved. The United States has maintained a high growth rate and attained a high standard of living. The American per capita income is one of the highest in the world, although some of the Scandinavian and Middle Eastern countries have equaled or surpassed it (it ranks seventh, as of 2013). Still, as we have seen, the economy is subject to periodic slowdowns or recessions. Society is intermittently plagued by high unemployment rates, particularly among some segments of the population. There is price instability, especially in a constant upward direction, meaning inflation. Incomes never seem to keep up with prices. There is widespread dissatisfaction among some groups with the way income is distributed in the market system. Complaints are also being voiced against the quality of output. In short, there is a substantial gap between the potential of the economic system and the reality.

政府制定的政策未能发挥应有的效力，原因有很多。首先，衡量标准存在问题。经济现象并非显而易见。物价上涨或失业率上升需要一段时间才能引起人们的警觉。

There are numerous reasons why the policies evolved by government do not work as efficiently as they should. First, there are problems in measurement. Economic phenomena are not highly visible. It takes some time before a jump in prices or an increase in unemployment becomes alarming.

其次，解读起来也存在困难。即使每个人都意识到失业率正在上升，其原因也并非总是显而易见。政策制定者倾向于先确定问题所在再采取行动。因此，等到开始采取行动时，问题已经更加严重，需要采取更严厉的措施。有时，修复损失已经为时已晚。

In the second place, there are difficulties with interpretation. Even when everyone realizes that unemployment is increasing, the reason is not always immediately apparent. Policy makers prefer to be sure of a problem before acting. Consequently, by the time action is begun, the problem is more serious and requires more drastic steps. Sometimes it is too late to repair the damage.

第三，存在实施问题。例如，如果总统和经济顾问委员会意识到支出速度正在放缓，而减税可以刺激需求，他们不可能一下子就实施减税。相反，他们必须等待国会批准。税收提案必须首先经过众议院和参议院的委员会审议，这是一个漫长而复杂的过程。因此，一项必要的政策很可能根本无法实施，或者实施得太晚，以至于促使其实施的条件已经不复存在。这样的行动可能会对经济产生相反的影响。

Third, there are problems of implementation. If, for instance, the president and the Council of Economic Advisers become aware that the rate of spending is slowing down and that a tax cut would stimulate demand, they cannot implement such a tax cut with one swift stroke. Rather, they must wait for Congress to authorize the action. The tax proposal must first go through committees in both the House and the Senate, a lengthy and complicated procedure. As a result, there is always the possibility that a needed policy will not be implemented at all or will be implemented so late that the condition that prompted it no longer exists. Such an action could have the opposite effect on the economy.

新世纪的头几十年，经济问题愈演愈烈：美国卷入了两场战争，不仅在金钱上耗费巨大，而且在生命上也付出了惨痛代价。受贪婪驱使的金融市场开始采用复杂的各种工具捆绑在一起，却又难以理解，最终破坏了世界各地社会的经济。银行再次受到高额回报欲望的驱使，通过向无力偿还贷款的人提供信贷和抵押贷款，进行了糟糕的投资。结果，信贷市场遭受重创，政府背负着巨大的资金缺口，预算赤字如此之大，以至于我们的子孙后代都将不得不面对它，而政府也难以继续为重要项目提供资金。此外，政治舞台也变得非常分裂，民主党和共和党在如何就医疗保健、气候变化、教育、移民和其他问题进行立法方面存在分歧。但对美国人民来说，最具破坏性的状况是，一部分人口仍然失业，因为他们缺乏技术经济所需的技能。失业对一个人来说是毁灭性的经历，当然，当人们没有钱赚时，他们就无法消费，这会导致经济下滑。

The first decades of the new century present more problems in the economy: the United States was involved in two wars, expensive not only in monetary ways, but in the cost of lives. The financial markets, motivated by greed, began to employ complex and hard to understand methods of bundling a variety of instruments that eventually undermined the economies of societies around the world. Banks, again prompted by the desire for large returns, made poor investments by giving credit and issuing mortgages to people unable to afford them. As a result, credit markets suffered, the government became burdened by a tremendous shortfall, a budget deficit so large that our children and grandchildren will have to deal with it, while the administration is finding it difficult to continue funding important programs. In addition, the political scene has become very divisive, with Democrats and Republicans at odds at how to legislate for health care, for climate change, for education, for immigration, and other issues. But the most damaging condition for the American people is the fact that a segment of the population remains unemployed because it lacks the skills necessary for the technological economy. The loss of a job is a devastating experience for a person, and of course, when people do not earn money, they cannot spend it, a fact that puts the economy on the skids.

市场经济中的资源配置取决于家庭、企业和中央政府（政府）就商品和服务的生产、销售和采购所做出的决策。家庭和企业做出的决策属于私营部门；中央政府做出的决策属于公共部门。

The allocation of resources in a market economy proceeds according to the decisions made by households, firms, and central authorities (government) about the production, sales, and purchases of goods and services. Decisions made by households and firms are said to be in the private sector; those made by central authorities are in the public sector.

起初，人们对市场运作的机制知之甚少。如今我们知道，市场本质上是一个价格体系，决定着哪些商品和服务可以被生产；生产者追逐利润，以他们认为人们愿意支付的价格生产他们认为人们想要的商品。如果价格足够低，人们就会购买更多产品，反之亦然。尽管商业企业的动机是利润，但它们也发挥着重要的社会功能，即以最有效的方式组织生产活动，并将生产资源引导到消费者需求最旺盛的地方。

At first, the mechanism that made the market function was little understood. Now we know that it is basically a price system that determines which goods and services are to be produced; producers, looking for profits, make commodities they think people want at prices they think people will pay. If these prices are low enough, people will buy more of the product, and vice versa. Although business firms are motivated by profits, they perform the important social function of organizing productive activity in the most efficient way and directing productive resources where consumer demand is strongest.

企业生产的商品和服务流向了有购买意愿且有收入支付这些商品和服务的消费者。反过来，用于支付商品和服务的收入又来自消费者向企业出售其劳动力（或其他资源）。因此，家庭和企业紧密相连，形成了一个永无止境的循环，只有提取（家庭和企业获得的收入，这些收入不会返还给企业，而是用于纳税或储蓄）和注入（企业获得的收入，这些收入并非来自家庭，以及家庭收入并非来自企业）才会中断这一循环。

The goods and services produced by firms go to consumers who have the desire for them and the income to pay for them. The income to pay for goods and services, in turn, is derived from consumers selling their labor (or other resources) to firms. Households and firms, then, are bound together in an unending circular flow interrupted only by withdrawals (income received by households and firms that is not returned to firms but goes for paying taxes or savings) and by injections (income received by firms that does not originate from households and income of households that does not come from firms).

市场经济的目标是最大化消费者幸福感、企业利润和公共福利。然而，市场参与者追求其目标受到价格和收入的限制。企业生产什么取决于资源和劳动力的价格。消费者购买什么取决于他们的收入和商品价格。价格影响着市场中的所有参与者——价格变动，行为也随之变化。市场中发生的是一个交换过程：能源和劳动力单向流动，而工资和薪金中的货币则反向流动。这两方被定义为供给和需求：在交换中付出的是供给，得到的是需求。每个参与者同时处于交换的两端。

The goals in a market economy are to maximize consumer happiness, the profits of firms, and the general welfare. However, participants in the market are constrained from pursuing their goals by prices and incomes. What firms produce depends on the prices of resources and labor. What consumers buy depends on their incomes and prices of goods. Prices affect all participants in the market—when prices change, so does behavior. What takes place in the market is an exchange process: energy and labor flow in one direction, and money in wages and salaries flows in the opposite direction. These two sides are defined as supply and demand: what one gives in the exchange is supply, what one gets is demand. Each participant is at one time on both sides of the exchange.

总需求表示的是，在国家层面上，人们以特定价格购买特定数量产品的意愿和能力。总供给则表示的是，在国家层面上，个人或企业以消费者愿意支付的价格供应特定资源或产品的综合意愿。需求曲线和供给曲线简化了市场行为的分析，因为它们一目了然地显示了市场参与者之间资源、产品和资金的流动情况。

Aggregate demand is expressed as people’s willingness and ability, on a national level, to buy a specific number of products at a specific price. Aggregate supply represents the combined willingness of individuals or firms, again on a national level, to supply specific resources or products at a price consumers are willing to pay. Demand and supply curves simplify the analysis of market action because they show at a glance the flow of resources, products, and money passing among the market participants.

买卖双方都同意的价格和数量只有一个——即供给量等于买方愿意支付的价格。这一点被称为均衡点。需求受价格弹性影响：如果消费者因为价格下降而购买更多产品，则需求具有弹性。如果消费者购买的产品数量很少，即使价格大幅下降，需求也具有弹性。需求缺乏弹性时，收入会下降；需求富有弹性时，收入会上升。

There is only one price and one quantity at which both buyers and sellers agree—when quantity supplied equals the price buyers are willing to pay. This point is called the equilibrium point. Demand is subject to price elasticity: if consumers buy more of a product because of a decrease in price, demand is said to be elastic. If consumers buy little of a product, even if its price has been drastically reduced, demand is said to be inelastic. Revenues fall when demand is inelastic and rise when demand is elastic.

市场机制的奇妙之处在于，它无需任何计划和固定的程序，商品和服务的内容和流动都由市场决定，价格也由市场决定。市场体系的优势在于，它允许个人免受约束，并允许每个参与者实现其目标的最大化。劣势在于，该机制并不公平，因为收入更高的参与者可以获得更多产品，而那些更有天赋或更愿意努力工作的人可以获得更多收入。由于这些不公平现象，以及一些惠及公众的产品没有市场，政府必须干预经济。

The amazing thing about the market mechanism is that without a planned, fixed program, both the content and the flow of goods and services are determined and prices are set. The advantage of a market system is that it allows individuals freedom from constraint and allows each participant to maximize his or her goal. The disadvantage is that the mechanism is not equitable because the participants with more income can get more products, and those with more talent or willingness to work hard can get more income. Because of these inequities, and because there is no market for some products that benefit the public, the government must intervene in the economy.

亚当·斯密首先提出的观点认为，自由市场无需干预也能高效运作。因此，斯密主张“放任自流”，即自由放任主义：政府被要求不要干预经济。然而，由于市场不提供公共产品和服务——例如高速公路、警察和消防、污染控制等等——并且偏袒那些天生天赋或继承财富的人（也因为自由市场并不像斯密想象的那样有效），政府不得不扮演越来越重要的均衡器和调节器角色。

In the view first formulated by Adam Smith, the free market worked quite efficiently without intervention. Therefore, Smith advocated leaving things alone, or laissez-faire: the government was enjoined to stay out of the economy. However, because the market makes no provision for the production of public goods and services—highways, police and fire protection, control of pollution, and so on—and favors those born with more talent or inherited fortunes (and because the free market does not work quite as well as Smith thought), the government has had to play an increasingly large role as an equalizer and regulator.

在当代社会，政府对经济的干预被人们接受，因为人们期望经济能够达到某些目标。在美国，这些目标包括充分就业、合理的产出组合、公平分配的高收入、合理的价格稳定以及充足的经济增长。这些目标虽然并非普遍接受，但通常被认为符合公共利益，并且需要公共权力来实现。公共权力赋予公共部门，即政府。政府控制经济的主要政策有三项：财政政策、货币政策和收入政策。

In contemporary societies, government intervention in the economy is accepted because people expect the economy to reach certain goals. In the United States, these goals include full employment, the right mix of output, high incomes equitably distributed, reasonable price stability, and sufficient economic growth. These goals, although not universally accepted, are generally considered to be in the public interest, and public power is needed to achieve them. Public power is vested in the public sector, which means the government. The government has three principal policies with which it controls the economy: fiscal, monetary, and incomes.

财政政策涉及运用公共支出和税收权力来改变经济结果。财政政策通过两种方式改变这些结果：如果政府支出较大，总产出就会上升；如果政府选择不支出，总需求和产出都会减少。当政府增加支出时，它会刺激更多的消费者支出，这一过程被称为乘数效应。财政政策被认为是一种稳定器，在市场本身无法阻止这些功能失调的情况下，它是一种实现和维持充分就业和价格稳定的工具。

Fiscal policy involves the use of public expenditures and taxation power to change the outcomes of the economy. Fiscal policy alters such outcomes in two ways: if the government spends a lot, total output goes up; if it chooses not to spend, both aggregate demand and output are small. When the government engages in more spending, it stimulates more consumer spending, a process called the multiplier effect. Fiscal policy is considered a stabilizer, a tool for achieving and maintaining full employment and stable prices in situations where the market alone cannot prevent these dysfunctions.

财政政策也用于抑制过度需求。在这种情况下，政府可以削减支出、提高税收或两者兼而有之。这些举措会导致销售额和收入下降，并降低消费者、企业或两者的购买力。政府作为稳定器，经常进行赤字支出，因此有必要通过发行债券来建立公共债务。有时政府也会出现预算盈余，但平衡预算实际上并不像许多人认为的那么重要。

Fiscal policy is also used to curb excessive demand. In this situation, the government can reduce its spending, raise taxes, or both. These actions result in a drop in sales and incomes and a reduction of the purchasing power of consumers, firms, or both. In its function as stabilizer, the government often engages in deficit spending, making it necessary to establish a public debt through the selling of bonds. Sometimes the government also experiences a budget surplus, but a balanced budget is really not as important as many believe it to be.

货币政策是指运用货币和信贷来控制经济结果。银行负责将货币（购买力）或信贷投入循环流动。政府可以通过监管银行必须持有的准备金金额及其收取的利率来控制银行投入资金的数额。政府甚至还监管现有银行的数量。监管银行和货币供应的最重要公共机构是美联储（通常称为“美联储”）。

Monetary policy refers to the use of money and credit to control economic outcomes. Banks are responsible for putting money—purchasing power—or credit into the circular flow. The government can control how much money the banks are putting into the flow by regulating the amount of reserves banks must keep on hand and the rates of interest they charge. Government even regulates the number of banks in existence. The most important public agency regulating banks and the money supply is the Federal Reserve Bank, commonly called “the Fed.”

收入政策利用工资和价格控制来引导经济结果。这是必要的，因为菲利普斯曲线所揭示的问题根深蒂固：较低的失业率通常伴随着较高的通货膨胀率。收入政策是直接试图建立或限制具体确定的工资和价格，从而影响收入分配。

Incomes policy uses wage and price controls to direct economic outcomes. It is necessary because of the stubbornness of a problem illustrated by the Phillips curve: lower rates of unemployment are usually accompanied by higher rates of inflation. Incomes policy is a direct attempt to establish or limit specifically determined wages and prices, thus affecting the distribution of income.

这三项政策都是政府手中的重要工具。然而，它们实施起来却异常艰难，因为需要精心协调和“微调”。协调工作因衡量、解读和执行方面的困难而岌岌可危。在本世纪头十年，我们目睹了经济的惊人崩溃，其根源在于监管薄弱以及一些金融公司和银行的过度贪婪。深度经济衰退导致了高失业率，这进一步削弱了经济。党内分裂阻碍了政府的行动，导致经济复苏的尝试屡屡受阻。

All three policies are important tools in the hands of the government. Unfortunately, they are very difficult to implement, as they need careful coordination and “fine-tuning.” Coordination is endangered by difficulties of measurement, interpretation, and implementation. In the first decade of this century we have seen a spectacular meltdown of the economy, caused by weak regulation and excessive greed on the part of some financial firms and banks. The deep recession had engendered a high rate of unemployment, which further weakened the economy. The government has been hampered by party divisiveness, so that attempts to remedy the economy have constantly been scuttled.

最后，社会科学家将当前的经济阶段描述为对技术和科学专家需求旺盛并将成为新贵族的阶段。新的战略资源，以前是资本，现在是知识和信息。问题在于如何处理那些无法再培训的蓝领劳动力。

Finally, social scientists are describing the current phase of the economy as one in which technical and scientific experts are in great demand and will come to be the new aristocracy. The new strategic resource, which was formerly capital, is now knowledge and information. The problem is what to do with the blue-collar segment of the labor force that is no longer retrainable.

总需求 在特定价格和特定时间内经济所需的商品和服务总量。

aggregate demand The total amount of goods and services demanded in the economy at a specific price and at a specific time.

预算盈余 政府收入大于支出时出现的盈余。

budget surplus A surplus that occurs when the government’s revenues are greater than its expenditures.

中央当局 所有公共机构，一般称为“政府”。

central authorities All public agencies, generally referred to as “the government.”

循环流动 从产品市场到资源市场再返回的流动，其中间或有提取和注入中断。

circular flow Movement from product markets to resource markets and back again, which is interrupted by withdrawals and injections.

赤字支出 当政府支出大于收入时发生的支出。

deficit spending Spending that occurs when the government’s expenditures are greater than its revenues.

通货紧缩 由于需求不足而导致的价格下降——与通货膨胀相反。

deflation A decrease in prices caused by insufficient demand—the opposite of inflation.

需求消费者以特定价格购买特定产品的意愿和能力。

demand Consumers’ willingness and ability to buy specific products at specific prices.

需求曲线 经济学家用来表示需求的价格和数量组合的图表。

demand curve A graph used by economists to show the combinations of prices and quantities that illustrate demand.

贴现率 联邦储备银行向成员银行贷款所收取的利率。

discount rate The interest rate charged by the Federal Reserve Bank for lending money to member banks.

可自由支配的支出 联邦预算中由当前支出而非前几年的结转支出组成的部分。

discretionary spending The portion of the federal budget that consists of current spending, rather than carryovers from previous years.

可支配收入： 国民收入减去税收，加上福利支出。即人们真正需要支出或储蓄的部分。

disposable income National income less taxes and plus welfare payments. What people really have to spend or to save.

均衡买方和卖方都兼容的价格和数量——供给量等于买方愿意支付的价格。

equilibrium The price and quantity at which both buyers and sellers are compatible—the quantity supplied equals the price buyers are willing to pay.

外部性 市场体系的负面效应：交通拥堵、污染、城市衰败等。

externalities The negative side effects of the market system: congestion, pollution, urban decay, etc.

要素或资源市场 家庭出售其控制的生产要素的市场。

factor or resource markets Markets in which households sell the factors of production that they control.

联邦储备银行 是国家货币供应和银行的主要监管机构。

Federal Reserve Bank The principal regulator of the money supply and of banks in the nation.

公司决定如何使用劳动力、土地和资本以及生产哪些商品和服务的单位。

firms Units that decide how to use labor, land, and capital and which goods and services to produce.

财政政策 政府利用公共支出和税收权力来改变经济结果。

fiscal policy The use of public expenditures and taxation powers by the government to change the outcomes of the economy.

充分就业 失业率较低，在 4% 至 5% 之间。

full employment A low rate of unemployment, between 4 and 5 percent.

国内生产总值 (GDP) 美国境内由美国或外国提供的资源生产的商品和服务的总产出以及所有收入。

gross domestic product (GDP) The total output of goods and services produced within the confines of the United States, by American or foreign-supplied resources, as well as all income earned.

人均国民生产总值（GNP）经济总产出或美元价值除以总人口。

gross national product (GNP) per capita The total output or dollar value of the economy divided by the total population.

家庭： 指居住在同一屋檐下并作为一个整体做出财务决策的所有人。也称为消费者。

household All the people who live under one roof and who make financial decisions as a unit. Also called the consumer.

收入政策 试图利用工资和价格控制来指导经济结果。

incomes policy An attempt to use wage and price controls to direct economic outcomes.

通货膨胀需求 增加无法满足供应增加的情况，导致价格上涨。

inflation A situation in which demand cannot be matched by an increase in supply, resulting in rising prices.

需求定律 指出，当产品价格低时，消费者会购买更多产品，而当产品价格高时，消费者会购买更少产品。

law of demand States that consumers will buy more of a product when it is offered at a low price, and less of it when it is offered at a high price.

供给定律指出 ，企业将以高价生产和销售更多产品，而不是低价生产和销售更多产品。

law of supply States that firms will produce and offer for sale more of their products at a high price than they will at a low price.

宏观经济学 涉及对一个国家的整体经济的分析——宏观视角。

macroeconomics Deals with the analysis of the whole economy of a nation—the large picture.

边际生产力 人们的劳动为总产出增加的价值。

marginal productivity The value people’s work adds to total output.

市场需求 个人和企业以特定价格购买特定数量产品的综合意愿。

market demand The combined willingness of individuals and firms to buy a specific number of products at a specific price.

市场供给 个人或企业以特定价格供应特定资源或产品的综合意愿。

market supply The combined willingness of individuals or firms to supply specific resources or products at specific prices.

微观经济学 研究经济中的个体行为和特定市场。

microeconomics The study of individual behavior in the economy, and of specific markets.

货币政策 使用货币和信贷来控制经济结果。

monetary policy The use of money and credit to control economic outcomes.

乘数效应 政府支出产生更多的收入，从而带来更高的消费支出，并转化为更高的总需求。

multiplier effect Government spending that produces more income, results in higher consumption expenditures, and translates into a higher aggregate demand.

菲利普斯曲线 图形地说明了充分就业和价格稳定之间的冲突：较低的失业率通常伴随着较高的通货膨胀率。

Phillips curve A graphic illustration of the conflict between full employment and price stability: lower rates of unemployment are usually accompanied by higher rates of inflation.

价格弹性 人们对产品或服务价格上涨或下跌的反应。

price elasticity People’s responsiveness to increases or decreases of prices for products or services.

产品市场 企业销售其生产的商品和服务的市场。

product markets Markets in which firms sell their production of goods and services.

公共部门 政府以人民的名义或为了公共利益开展的经济活动。

public sector Economic activity on the part of the government in the name of the people or for the public interest.

社会指标 衡量特定产出水平所产生的实际效益水平的方法。

social indicators Ways of measuring the level of real benefits resulting from a specific level of output.

稳定指财政政策作为实现和维持充分就业和稳定物价的工具。

stabilization Referring to fiscal policy as a tool for achieving and maintaining full employment and stable prices.

不可控制的支出 计入年度联邦预算的前几年的支出。

uncontrollable expenditures Expenditures from previous years that are built into the annual federal budget.

Reference

中央情报局。2014 年。《世界概况》。www.cia.gov/library /publications/the_world_factbook/geos/ar.html 。

CIA. 2014. The World Factbook. www.cia.gov/library/publications/the_world_factbook/geos/ar.html.

Levy, Frank 和 Richard J. Murnane。2004年。《新的劳动分工》。新泽西州普林斯顿：普林斯顿大学出版社。两位来自著名大学的经济学家全面分析了科技如何影响美国的职业分布。他们预测了哪些技能将在未来劳动力市场中受到重视；因此，这本书对于准备进入职场的学生来说，应该成为必读书籍。

Levy, Frank and Richard J. Murnane. 2004. The New Division of Labor. Princeton, NJ: Princeton University Press. Two economists from prestigious universities take a comprehensive look at how technology is affecting the occupational distribution in the United States. They predict which skills are going to be valued in future labor markets; consequently, this should be a must-read for students preparing to enter the workforce.

McConnell, Campbell R. 和 Stanley L. Brue。2002年。 《经济学原理、问题与政策》，第15版。纽约：麦格劳-希尔-欧文出版社。这是一本文笔清晰、实用的经济学综述，更详细地涵盖了本章涉及的要点。

McConnell, Campbell R., and Stanley L. Brue. 2002. Economics Principles, Problems and Policies, 15th ed. New York: McGraw-Hill-Irwin. A clearly written, down-to-earth survey of economics, covering the points touched on in this chapter in much more detail.

还有一些有趣的杂志文章：

There are also a number of interesting magazine articles:

Foroohar, Rana 和 Mac Margolis。2010 年。“可怕的新富阶层。全球中产阶级比我们想象的更不稳定、更不自由。” 《新闻周刊》，3 月 15 日。www.newsweek.com/id /234589/output/print 。

Foroohar, Rana, and Mac Margolis. 2010. “The Scary New Rich. The Global Middle Class Is More Unstable and Less Liberal Than We Thought.” Newsweek, March 15. www.newsweek.com/id/234589/output/print.

Freeland, Chrystia。2011年。“新全球精英的崛起”。《大西洋月刊》，1月/2月，第44-55页。

Freeland, Chrystia. 2011. “The Rise of the New Global Elite.” The Atlantic, January/February, pp. 44–55.

麦克法夸尔，拉里萨。 2010.“紧缩论者”。《纽约客》，3 月 1 日，第 38-49 页。

MacFarquhar, Larissa. 2010. “The Deflationist.” The New Yorker, March 1, pp. 38–49.

Peck, Don. 2010. “新的失业时代将如何改变美国。” 《大西洋月刊》，3 月，第 42-56 页。

Peck, Don. 2010. “How a New Jobless Era Will Transform America.” The Atlantic, March, pp. 42–56.

Zingales, Luigi。2009 年。“危机后的资本主义。”国家事务。www.nationalaffairs.com / publications/detail/print/capitalism-after-the-crisis 。

Zingales, Luigi. 2009. “Capitalism After the Crisis.” National Affairs. www.nationalaffairs.com/publications/detail/print/capitalism-after-the-crisis.

Nation among Nations: Perspectives on International Relations

国家与国家：国际关系视角

在本章中，你将学习

IN THIS CHAPTER, YOU WILL LEARN

• 国际关系的定义；

• the definition of international relations;

• 用于分析国际体系的理论视角；

• theoretical perspectives used to analyze the international system;

• 国际政治体系的参与者是谁；

• who are the participants in the international political system;

• 权力概念的重要性；

• the importance of the concept of power;

• 国家的目标，以外交政策及其手段为依据；

• the objectives of states, as evidenced by foreign policy and its instruments;

• 各国通过各种手段实现目标。

• that states attain goals by various means.

我如今，“全球”经济这一说法已屡见不鲜，它指的是经济活动跨越国界。然而，各国互动的领域远不止经济领域：它们以无数方式、出于无数原因、几乎持续不断地互动。因此，当我们谈论国际关系时，我们指的就是这种互动。这种互动并非必须涉及直接的实体接触：它可以是经济性质的，例如贸易；也可以是以使用军事力量为中心，例如战争；还可以涉及公共和私人外交。

It is common today to refer to the “global” economy, meaning that economic activities take place across national borders. However, it is not only in the economic arena that countries interact: they do so in countless ways and for countless reasons, and almost continuously. When we speak of international relations, then, we refer to this type of interaction. The interaction need not involve direct physical contact: it can be of an economic nature, as in trade; or center on the use of military force, as in war; or entail public and private diplomacy.

当个体互动时，他们最终会创建一个社会体系。同样，一个国家与另一个国家或其他国家之间的互动，也会在全球框架内创建一个国际社会体系。然而，全球社会体系与社会社会体系截然不同。一个社会可能由多个种族和宗教群体组成，就像美国一样，但它拥有指导其行为的价值观共识，并对其未来抱有共同的目标。在全球范围内，并不存在这样的共识。事实上，情况可能恰恰相反；一个国家的目标不一定与另一个国家的目标互补或协调。此外，在一个社会中，我们通过一系列源于核心政府机构的机构来维持秩序并防止暴力。然而，目前尚不存在具有类似职能的全球机构。没有一个核心权威垄断权力，就像社会内部存在的一样。在全球范围内，某种程度上的无政府状态盛行。

When individuals interact, they eventually create a social system. Similarly, interaction of one nation with another or others creates an international social system within a global framework. However, the global social system differs considerably from a societal social system. A society may consist of a number of racial and religious groups, as the United States does, but it has a consensus on values to guide its behavior and harbors common goals for its future. No such consensus exists on a global level. In fact, quite the opposite may be true; the goals of one nation are not necessarily complementary or reconcilable with those of another nation. Also, within a society, we maintain order and prevent violence through a number of institutions derived from the pivotal institution of government. Yet no global institution with similar functions exists. There is no central authority with a monopoly on power, as exists within a society. On a global level, anarchy of a sort prevails.

除了国际体系的这些缺陷之外，世界变化的速度也愈发迅猛。上个世纪，权力基础发生了根本性转变，从西欧转向美国和苏联。许多国家摆脱了殖民帝国的统治而独立。随着前苏联共产主义的垮台，又一次发生了重新分配。权力的分配在各个国家集团之间不断波动，这一过程很可能在未来继续下去。最后，技术的持续变革，尤其是在武器领域，将继续对各国产生影响。

Added to these shortcomings of the international system is the rapidity with which change occurs in the world. There has been a fundamental transformation in the bases of power from Western Europe to the United States and the Soviet Union in the last century. A number of nations have become independent from colonial empires. Another rearrangement has occurred with the fall of communism in the former Soviet Union. The distribution of power is continually fluctuating from one group of states to another, a process that in all probability will continue to take place in the future. Finally, the ongoing changes in technology, not least in the field of weapons, will continue to have an impact on nations.

因此，国际关系学科是一个庞大而复杂的领域。它涉及各种各样的活动，从战争到人道主义援助、贸易和投资、旅游到奥运会。该学科的核心研究包含三个问题：（1）国家如何行动，特别是它们为何以这种方式相互行动（其外交政策所表达的国家利益是什么）？（2）国家如何实现其目标（其实力如何）？（3）国家间互动（外交、援助、交流、合作）的主要特征是什么？然而，首先，我们应该清楚地了解国家是什么，它们有时与民族有何不同，以及它们的地理位置和可支配的资源如何影响它们在世界舞台上的角色。

The discipline of international relations is, therefore, a vast and complex field. It concerns activities as diverse as war and humanitarian assistance, trade and investment, tourism and the Olympic Games. The core of inquiry of this discipline consists of three questions: (1) How do states act, and particularly why do they act the way they do toward one another (what is their national interest as expressed by their foreign policies)? (2) How do states attain their goals and objectives (what are their capabilities in terms of power)? (3) What are the main characteristics of the interactions between states (diplomacy, aid, exchange, cooperation)? First, however, we should have well in mind what states are and how they sometimes differ from nations, and in what ways their geographic location and the resources at their disposal affect their role on the world stage.

国家与民族

The State and the Nation

国家的定义是指由占据特定领土、受主权政府管辖且其政权被其他国家承认为合法政权的人口组成的单位。因此，国家与民族并非完全相同，更准确的说法是民族国家（nation-state）或民族国家（national state）。民族是一个庞大的社会群体，其人民拥有共同的习俗、语言、传统和群体认同感。一个民族可能分裂并生活在几个不同国家的管辖之下（例如生活在科索沃的阿尔巴尼亚人或生活在土耳其和伊拉克的库尔德人）；一个民族可能没有国家（例如现在的巴勒斯坦人和以色列建国前的犹太人）；一个国家可能在其境内生活着许多民族（例如前苏联和其他多元社会）。最初的欧洲国家是真正的民族国家，因为每个国家的人口实际上都是一个民族。但现代国家的人口更有可能由由于移民、战争、殖民主义或这些因素的综合作用而居住在其境内的多个民族组成。

A state is defined as a unit consisting of a population that occupies a definite territory, that is subject to a sovereign government, and that has a regime recognized as legitimate by other states. The state and the nation, then, are not quite the same thing, and it is more accurate to speak of a nation–state or a national state. A nation is a large social grouping whose people share common customs, language, heritage, and a sense of group identity. A nation may be split and living under the jurisdiction of several different states (such as the Albanians living in Kosovo or the Kurds living in Turkey and Iraq), or a nation may have no state (such as the Palestinians now and the Jews before the establishment of Israel), or a state may have many nations living within its boundaries (as was the case in the former Soviet Union, among other pluralist societies). The first European states were true nation–states because the population of each was really a nation. But the population of a modern state is more likely to consist of a number of nations that reside within its boundaries because of migration, war, colonialism, or a combination of these factors.

国家概念的核心是主权，正因为拥有主权，国家才能统治和代表其境内所有人民。国家的另外两个特征是拥有武装部队和获得其他国家的承认。由于国家拥有主权，它们必须保护其边界和人民。武装部队是受过训练以实施暴力的组织，各国根据其国家利益将其用于防御和进攻。战争和战争威胁在很大程度上决定了领土、界定了边界、维护了政治独立并催生了新的国家。

Central to the conception of the state is its sovereignty, and it is because a state is sovereign that it can govern and represent all the people within its own borders. Two other characteristics of states are the presence of armed forces and recognition by other states. Because states are sovereign, they must protect their borders and populations. The armed forces, which states use both defensively and offensively according to their national interest, are organizations trained to inflict violence. Wars and the threat of wars have largely determined territory, defined borders, preserved political independence, and given birth to new states.

一旦一个国家被认为对其境内人民拥有控制权，其他国家就会给予承认。这需要交换大使并签署协议。由于承认意味着接受一个国家作为合法政治实体，因此承认并非总是成立。以色列自1948年以来就作为一个国家存在，但在阿拉伯国家中，只有埃及和约旦正式承认它，尽管它们仍然对它抱有敌意。

Once it is felt that a state has control over the people within its boundaries, other states give it their recognition. This involves an exchange of ambassadors and agreements. Because recognition means acceptance of a state as a legitimate political entity, it is not always given. Israel has existed as a state since 1948, but of the Arab states, only Egypt and Jordan formally recognize it even though they remain inimical to it.

图片 19.1世界上许多地区正在经历冲突，产生了大量难民，他们必须依靠联合国等组织提供食物、住所、水和其他救生援助。

IMAGE 19.1 Many regions of the world are experiencing conflicts that produce large numbers of refugees who must depend on such organizations as the United Nations for food, shelter, water, and other lifesaving assistance.

国际体系的参与者

Participants in the International System

国际关系体系中最重要的行为主体是国家（参见第十五章）。在前述警示性声明的框架下，我们可以将国际关系的定义进一步细化为一门学科，它关注的是行为主体（国家、政府、领导人、外交官、人民，甚至跨国公司）如何运用特定手段（外交政策、外交手段和其他手段），并凭借其权力或能力，努力实现特定目标（宗旨、目的）（Sondermann, Olson, & McLellan, 1970, 5）。

The most significant actor in the international relations system is the state (see Chapter 15). In the framework of the preceding cautionary statements, we may refine the definition of international relations as being a discipline concerned with actors (states, governments, leaders, diplomats, peoples, or even multinational corporations) trying to achieve specific goals (objectives, purposes), using particular means (foreign policy, diplomacy, and other instruments) dependent on their power or capability (Sondermann, Olson, & McLellan, 1970, 5).

非国家行为体

Non-State Actors

除了国家之外，国际体系的参与者还包括政府间组织（IGO），它们是主权国家自愿组成的联盟，旨在实现各种目标。政府间组织的重要性不一，从联合国、欧洲经济共同体到国际罐头食品常设委员会，不一而足。一些政府间组织的成员几乎遍布全球：联合国、世界银行、国际货币基金组织等等。然而，它们大多是区域性的，例如美洲国家组织（OAS）和阿拉伯联盟。此外，还有一些区域性军事联盟，例如北大西洋公约组织（NATO）。它们的职能可能是政治、经济或社会方面的。

In addition to states, actors in the international system include intergovernmental organizations (IGOs), which are voluntary associations of sovereign states organized for the pursuit of a variety of purposes. IGOs range in importance from the United Nations and the European Economic Community to the Permanent International Committee on Canned Food. Some IGOs have an almost universal membership: the United Nations, the World Bank, the International Monetary Fund, and so on. Most of them are regional, however, such as the Organization of American States (OAS) and the Arab League. There are also regional military alliances such as the North Atlantic Treaty Organization (NATO). Their functions may be political, economic, or social.

该体系中的其他行为体包括非政府组织（NGO），也称为跨国行为体。NGO 的特点是总部设在一个国家，但在两个或多个国家开展业务；它们跨越国界履行职能。最后，还有一类 NGO 是由跨国公司组成的，这些大型公司在许多国家设有工厂和办事处，并在这些国家销售产品和服务。跨国公司的规模是它们被列为行为体的原因之一。国际体系（它们的年销售总额可与许多国家的国民生产总值相媲美）。另一个原因是一些社会评论家担心它们会使民族国家过时。跨国公司正在引入的全球经济将以物质利益将各国相互联系在一起，使领土国家变得过时且无关紧要。您可以通过以下网址查看世界各地大量的非政府组织：www.wango.org/resources.aspx ?section-ngodir 。

Other actors in the system include nongovernmental organizations (NGOs), also called transnational actors. NGOs are characterized by having headquarters in one country but operations in two or more countries; they perform their functions across national borders. Finally, another kind of NGO consists of multinational corporations, large firms that control plants and offices in many countries, in which they sell their goods and services. The size of the multinationals is one reason why they are listed as actors in the international system (their gross annual sales rival the gross national products of many nations). Another reason is the fear of some social commentators that they will render the nation–state obsolete. The global economy that the multinationals are introducing will tie nations to one another with material benefits, making the territorial state outdated and irrelevant. See the large number of NGOs by looking at areas of the world on: www.wango.org/resources.aspx?section-ngodir.

恐怖组织

Terrorist Groups

恐怖组织是国际体系中不受欢迎的参与者。不幸的是，这些组织在国际舞台上的影响力日益增强。一些恐怖组织试图建立独立国家或脱离现有国家，他们采用公共外交和恐怖手段相结合的方式。其他组织的目标似乎更加模糊。2001年9月11日纽约和华盛顿特区五角大楼袭击事件造成的破坏，以及世界各地发生的一系列其他恐怖袭击，都是此类组织暴力行为的典型例子。

Unwanted participants in the international system are terrorist groups. These groups are unfortunately becoming increasingly influential on the international scene. Some terrorist organizations attempt to establish independent states or secede from current states, and they do so with a mixture of public diplomacy and terror tactics. Other groups seem to have more ambiguous goals. The destruction in the wake of the September 11, 2001, attacks in New York and on the Pentagon in Washington, DC, as well as a number of other terrorist attacks around the world, are examples of the violence of which such organizations are capable.

恐怖组织通常起源于城市，由匿名头目领导，隐藏在城市环境中，并偶尔发动暴力活动。两者都始于弱势地位，但恐怖组织希望通过恐吓其所谓的敌人，迫使其做出让步。

Terrorist groups tend to originate in cities, are led by anonymous leaders, hide in urban environments, and engage in sporadic violence. Both start out from positions of weakness, but terrorist groups hope to frighten their perceived enemy into making concessions.

那些愤怒的个人会诉诸恐怖主义，以公开宣泄他们的不满。诸如伊朗支持的真主党（真主党）和基地组织等组织，利用劫持、暗杀、绑架、轰炸公共建筑和袭击使馆等行为，迫使各国关注他们，有时甚至与他们进行谈判。目前的恐怖组织被称为“伊斯兰国”（Isis）或“伊斯兰国”（Isil），他们正致力于占领伊拉克和叙利亚领土，其目标是建立一个穆斯林哈里发国。他们的危险之处在于，他们利用社交媒体宣扬自己的意识形态，从而能够说服年轻男女，无论是否穆斯林，都追随他们。他们使用非常暴力的手段惩罚反对他们的人（例如斩首），并绑架记者和援助人员，以勒索赎金。

Terrorism is resorted to by angry individuals who want to publicize their grievances. Such groups as the Party of God (Hezbollah), the Iranian-sponsored organization, and al Qaeda, use acts of jacking, assassination, kidnapping, bombing of public buildings, and attacks on embassies to compel states to take notice and sometimes to negotiate with them. The current terrorist group, called Isis or Isil, is engaged in taking over territory in Iraq and Syria for the purpose—it says—of establishing a Muslim Caliphate. They are dangerous in that they use the social media to preach their ideology and are thus able to convince young men and women, both Muslim and not, to follow them. They use very violent methods of punishing those who oppose them (by beheadings), and use kidnappings of journalists and aid workers to accumulate money through ransoms.

图片 19.2 2001 年 9 月美国遭受的恐怖袭击迫使美国外交政策做出危机反应：采取军事行动消灭了阿富汗的塔利班政权——那里是许多恐怖分子的避难所——以及伊拉克持续的溃败。

IMAGE 19.2 The terrorist attack on the United States in September 2001 forced American foreign policy into a crisis response: the military action that eliminated the Taliban regime in Afghanistan—haven to many terrorists—and the ongoing debacle In Iraq.

其他州分类方法

Other Ways of Classifying States

直到大约十年前，人们通常将世界国家划分为第一世界、第二世界和第三世界。第一世界国家包括工业化的资本主义国家，例如美国、加拿大、日本、澳大利亚、新西兰和西欧国家。第二世界包括世界上所有的社会主义国家，例如前苏联、中国、古巴、朝鲜、东欧国家和一些非洲国家。第三世界包括世界其他所有国家，或不属于前两类的国家。这些国家数量众多，几乎占世界总面积的三分之二。它们也被称为“发展中”国家。其中包括墨西哥、中美洲和南美洲国家以及亚洲和非洲的不结盟共产主义国家。

Until about ten years ago, it was common to divide the countries of the world into those belonging to the First, the Second, and the Third Worlds. The First World countries included the industrialized, capitalist nations such as the United States and Canada, Japan, Australia and New Zealand, and the nations of Western Europe. The Second World included all the socialist countries of the world, such as the former Soviet Union, China, Cuba, North Korea, the countries of Eastern Europe, and some African nations. The Third World included all the rest of the world, or countries that did not fit either one of the previous categories. These countries were large in number, counting among them almost two-thirds of the world. They were also referred to as the “developing” nations. Among them were Mexico, the nations of Central and South America, and the nonaligned communist nations of Asia and Africa.

富国与穷国

Rich Nations, Poor Nations

随着苏联解体，第二世界瓦解，这种分类失去了许多意义。因此，更重要的分类是将国家分为富国和穷国。这种分类是通过观察人均 GDP 得出的，即一个国家每年通过经济活动生产的商品和服务的产出量除以其人口数。这并不是最精确的衡量标准，因为以农业为主的国家在财富创造方面表现不佳。但它可以足够清晰地显示国家分为高收入、中等收入和低收入阶层。从地图上看，很明显除了少数例外，高收入国家都位于北部地区。另一方面，中低收入国家则位于南部地区（这就是为什么这种分类也被称为南北轴）。高收入地区包括北美和西欧，以及澳大利亚和新西兰。中等收入国家位于拉丁美洲、南非、北非石油资源丰富的地区以及东亚新兴工业化国家。低收入国家位于非洲和亚洲。按人口比例计算，全球60多亿人口中，56%生活在低收入地区，只有15%生活在高收入地区。

With the dissolution of the Soviet Union, the Second World unraveled, so this classification lost much of its meaning. A more significant classification, therefore, is one into rich nations and poor nations. This classification is obtained by observing the GDP per capita, that is, a country’s yearly output of goods and services produced by economic activity, divided by its population. This is not exactly the most precise measure, as predominantly agricultural countries do not show up well in terms of wealth produced. But it gives a sufficiently clear picture showing countries stratified into high-income, middle-income, and low-income. Looking on a map, it is obvious that with a few exceptions the high-income countries are located in the northern regions. The middle- and low-income nations, on the other hand, are located in the southern regions (that is why this classification is also called the North–South axis). The high-income regions are those of North America and Western Europe, as well as Australia and New Zealand. The middle-income countries are in Latin America, South Africa, and in those parts of North Africa that have oil, and the newly industrial nations of East Asia. The low-income countries are found in Africa and Asia. In terms of percentage of population, 56 percent of the more than 6 billion people who inhabit the earth live in the low-income regions, and only 15 percent live in the high-income regions.

世界富国与穷国之间存在的差距是一个令人担忧的问题。根据《2014年世界发展报告》，全球60亿人口中，20%的人每日生活费不足1.25美元，75%的人每日生活费不足4美元（查看全球哪些地区受到影响：www.data.worldbank.org/topic/poverty#tp_wdi）。

The differences that exist between the rich and the poor nations of the world are a worrisome problem. According to the World Development Report of 2014, 20 percent of the 6 billion people in the world live on less than $1.25 a day, and 75 percent live on less than $4.00 (see which areas of the world are so affected: www.data.worldbank.org/topic/poverty#tp_wdi).

另外还有11亿人每天的生活费不足1美元。每100个婴儿中，有8个活不到五岁。每100个学龄男孩中，有9个没有上学（每100个女孩中也有14个没有上学）。贫困的世界发展数据还显示，人们容易受到健康状况不佳、经济混乱、自然灾害和人身暴力的影响。世界银行估计，中国和东亚及太平洋地区已经实现了减贫，这些地区的人均GDP增长了两倍多，极端贫困人口比例从56%下降到16%。然而，撒哈拉以南非洲地区的GDP萎缩了14%，贫困率从1981年的41%上升到2001年的46%。这意味着极端贫困人口增加了1.4亿（世界发展指标，2014年）。 2010年，撒哈拉以南非洲地区仍然处于极端贫困和饥饿状态：48.5%的居民每天生活费不足1.25美元。约有30%的约有2.4亿人口遭受饥饿。30%的儿童未接受过小学教育，接受教育的妇女不到20%。将儿童饥饿人口减半的努力进展极其缓慢。报告指出，尽管略有下降，但五岁以下儿童的死亡率仍是发达国家的两倍，孕产妇保健问题已成为地区乃至全球的一大丑闻。参见：www.worldbank.org/indicator#topic-11。

Another 1.1 billion people live on less than $1 a day. Of every 100 infants, eight do not live long enough to see their fifth birthday. Of every 100 boys of school age, nine do not attend school (and neither do 14 of every 100 girls). Poor World Development data also show that people are vulnerable to poor health, economic dislocations, natural disasters, and personal violence. The World Bank estimates that poverty reduction has occurred in China and the East Asia and Pacific regions, where the GDP per capita more than tripled, and the proportion of people in extreme poverty fell from 56 percent to 16 percent. However, in sub-Saharan Africa the GDP shrank by 14 percent, and poverty increased from 41 percent in 1981 to 46 percent in 2001. This means that 140 million people were added to those living in extreme poverty (World Development Indicators, 2014). In 2010, sub-Saharan Africa was still experiencing extreme poverty and hunger: 48.5 percent of its residents were living on $1.25 a day or less. Around 30 percent of the population, or 240 million people, suffered hunger. Thirty percent of children had no primary education and fewer than 20 percent of women had access to education. The attempt to halve the extent of hunger for children has been moving excruciatingly slowly. Despite slight drops, the mortality of children under age five is twice the rate of developed countries, and maternal health is a regional and global scandal, according to the report. See: www.worldbank.org/indicator#topic-11.

最后，穷人缺乏政治权力，因此经常成为残酷内战的受害者。富国与穷国之间日益扩大的差距，在许多人心中激起了强烈的怨恨和不公感。这种情况已经开始爆发，并对富裕国家人民的舒适生活构成威胁。

Finally, poor people lack political power, so that they are frequently on the receiving end of brutal civil conflicts. The rising disparities between the rich countries and the poor have awakened bitter resentment, as well as a sense of injustice in many, a situation that has already begun to explode and is a threat to the comfortable life of people in the wealthy nations.

国家间互动

Interaction among Nations

世界被划分成近200个民族国家的区域。每个国家对其他国家的行为都取决于过去国际体系的历史框架。历史表明，任何既定的政策或行动都受到当时盛行的信念——即参与者的意识形态和世界观——的影响。同样重要的是，要记住信念和世界观都会随着时间而改变。因此，显然，理论（人们所相信的）、政策（领导者基于信念体系宣称他们应该如何行事）和实践（政策制定者如何实际执行政策）之间存在着明确的联系。

The world is organized into regions containing nearly 200 nation–states. The behavior of each state toward another depends on the historical framework of international systems of the past. History illustrates that any given policy or action is shaped by the prevailing beliefs of the period, that is, by ideologies and the worldviews of the participants. It is also important to remember that both beliefs and worldviews change over time. Obviously, then, there is a clear link between theory (what is believed), policy (how leaders say they ought to behave as a result of the belief system), and practice (how policies are actually carried out by policy makers).

理论观点

Theoretical Perspectives

所有社会科学都以视角审视国际关系。然而，学者们如同所有人一样，对现实有着不同的认知。因此，他们从不同的角度分析事件和行为。认识到这些差异对于评判他们的结论至关重要。

International relations have been viewed through the lens of all the social sciences. Scholars, however, like all people, have different perceptions of reality. Consequently, they have analyzed events and behavior from different points of departure. An awareness of these differences is important in judging their conclusions.

现实主义

Realism

本世纪大部分时间里，美国学者普遍持有现实主义的观点。现实主义基于这样的假设：首先，政治的本质是权力斗争，进而，国际政治最好被理解为对这种斗争所引发的冲突的研究。持这种观点的学者（该观点由芝加哥大学的汉斯·摩根索推广）主要从系统动荡的角度来研究国际关系：战争、革命和自然灾害。他们试图找出这些权力斗争的原因并预见其后果。战争和安全事务被认为是至关重要的，被称为“高层政治”，与经济、社会和文化互动等“低层政治”相对。这种观点的核心概念是权力，以及每个国家在缺乏任何中央权威的情况下，必须运用其权力来保障自身安全。这当然会导致局势升级，因为所有其他国家都会采取同样的行动。然而，在现实主义的观点中，国家生存和国家利益是首要的政治美德，超越个人道德或任何其他考虑。

The prevalent perspective among American scholars for much of this century has been realism. Realism is based on the assumption, first, that the essence of politics is the struggle for power and, by extension, that international politics is best understood as the study of the conflicts that arise as a result of this struggle. Scholars who subscribe to this view, popularized by Hans Morgenthau of the University of Chicago, approach international relations primarily in terms of disturbances to the system: wars, revolutions, and natural disasters. They seek to establish causes and foresee consequences of these power struggles. The issues of war and security affairs are considered of utmost importance and referred to as “high politics,” as opposed to such matters of “low politics” as economic, social, and cultural interactions. The key concept in this perspective is power and the fact that each nation, in the absence of any central authority, must provide for its own security by using its power. This, of course, leads to escalation because all other nations will behave in the same way. In the realist view, however, national survival and the national interest are primary political virtues, superseding personal morality or any other consideration.

现实主义的第二个假设是，国家是国际关系中的主要或最重要的行为体，并且它们作为一个整体行动；也就是说，国家（民族的抽象化体现）在特定时期针对任何特定问题都只有一个声音、一个政策。这是一种理想化的现实版本，因为政府并非总是稳定、合法和称职的，而且它们从不代表全体人民。

The second assumption of realism is that states are the principal or most important actors in international relations and that they act as a unit; that is, that the state (the abstract embodiment of the nation) speaks with one voice and has one policy at a given time on any specific issue. This is an idealized version of reality because governments are not always stable, legitimate, and competent, and they never speak for all the people of the nation.

第三个假设是国家是一个理性的行为体。因此，在制定外交政策时，决策过程始于目标陈述，并根据国家能力、实现目标的可能性以及每个方案的成本和收益，考虑所有可行的替代方案。然后，决策者选择收益最大化、成本最小化的方案。然而，现实中，大多数决策过程是否遵循这种理性程序令人怀疑。

The third assumption is that the state is a rational actor. In establishing foreign policy, then, the decision-making process begins with a statement of objectives and considers all feasible alternatives in terms of the state’s capabilities, the likelihood of attaining the objectives, and the costs and benefits entailed in each alternative. Decision makers then select the alternative that maximizes benefits and minimizes costs. In reality, it is doubtful that most decision-making processes follow such rational procedures.

当代观点

Contemporary Perspectives

尽管现实主义占据主导地位，与之相反的理论观点却被冠以理想主义的称号。自20世纪50年代末开始，国际关系日益以行为主义或科学方法的兴起为标志——科学方法被应用于国际关系，就像它曾应用于其他社会科学一样。当代研究方法倾向于从多元主义、全球主义和新现实主义的视角来审视国际关系。

While realism held sway, theoretical perspectives that were opposed to it were dubbed idealistic. Beginning in the late 1950s, international relations were increasingly marked by the emergence of behavioral or scientific approaches—the scientific method was applied to international relations just as it had been to the other social sciences. Contemporary approaches tend to look at international relations from the standpoint of pluralism, globalism, and neorealism.

多元主义。多元主义认为，国家以外的行为体在国际关系中也同样重要，不容忽视。拥有自身官僚机构的国际组织和跨国公司在决定哪些问题在政治上最为重要方面具有相当大的影响力，尤其是在日益相互依存的世界经济中。此外，多元主义者不认为国家是一个单一的行为体。国家由各个官僚机构、利益集团和个人组成，他们都试图制定或影响外交政策。他们也质疑国家是理性行为体的观点。他们指出，制定的政策常常是为了增强某个群体的权力、威望和地位，而牺牲其他群体的利益，并给国家的外交政策带来灾难性的后果。最后，多元主义者拒绝接受国际政治议程受军事和安全问题主导的观点；相反，他们认为国际政治议程应该更加广泛，包括经济和社会福利问题。

Pluralism. Pluralism assumes that actors other than the state are important entities in international relations and cannot be ignored. International organizations and multinational corporations, with their own bureaucracies, have considerable influence in determining which issues are most important politically, particularly in an increasingly interdependent world economy. In addition, pluralists disagree that the state is a unitary actor. The state is composed of individual bureaucracies, interest groups, and individuals, all of whom try to formulate or influence foreign policy. They also challenge the notion that the state is a rational actor. They note that often policies are suggested to enhance the power, prestige, and standing of a group at the expense of others and with disastrous consequences for the foreign policy of the nation. Finally, pluralists reject the idea that the agenda of international politics is dominated by military and security issues; rather, they believe that agenda to be extensive, including economic and social welfare issues.

全球主义。全球主义认为，分析国际关系的起点是国家与其他实体互动的全球背景。他们认为，要解释行为，首先必须理解行为发生的全球环境的本质。全球主义者还认为，有必要从历史的角度看待国际关系。例如，一项关于16世纪西欧资本主义兴起的研究表明，资本主义的发展、变革和扩张导致了世界资本主义体系的建立，该体系影响着所有国家的行为，即使有些国家从资本主义中受益，而其他国家却没有。

Globalism. Globalism assumes that the starting point of analysis for international relations is the global context within which states and other entities interact. They maintain that to explain behavior, one must first understand the essence of the global environment in which behavior occurs. Globalists also believe that it is necessary to view international relations from a historical perspective. For example, a study of the rise of capitalism in sixteenth-century Western Europe shows that its development, changes, and expansion have led to the establishment of a world capitalist system that affects the behavior of all states, even though some states benefit from capitalism and others do not.

全球主义者还将分析重点放在国家和非国家行为体作为支配机制上。换句话说，他们观察某些国家、社会阶层或精英如何以牺牲其他国家、社会阶层或精英为代价，从资本主义制度中获益，以及北方工业国家（北美、西欧、日本，甚至前苏联和东欧）与贫穷、欠发达、工业不足的国家（拉丁美洲、非洲和亚洲）之间的依附关系最初是如何发展和维持的。

Globalists also focus their analysis on state and nonstate actors as mechanisms of domination. In other words, they look at how some states, social classes, or elites benefit from the capitalist system at the expense of others and how dependency relations among northern industrial states (North America, Western Europe, Japan, and even the former Soviet Union and Eastern Europe) and the poor, underdeveloped, industrially deficient countries (Latin America, Africa, and Asia) initially developed and are maintained.

最后，全球主义者在很大程度上强调经济因素对于解释国际体系动态的关键作用。事实上，对全球主义者而言，经济学是理解当代世界体系发展、演变和运作的关键。显而易见，这种视角具有许多马克思主义特征，但许多全球主义者自称是非马克思主义者（Viotti & Kauppi，1987，6-10）。

Finally, globalists stress to a great extent the critical importance of economic factors as an explanation for the dynamics of the international system. In fact, to globalists, economics is the key to understanding the development, evolution, and functioning of the contemporary world system. It should be obvious that the perspective has many Marxist features, but many globalists profess to be non-Marxists (Viotti & Kauppi, 1987, 6–10).

新现实主义

Neorealism

新现实主义的视角接受了现实主义的一些前提。例如，新现实主义者认为国际关系面临三个问题：无政府状态、秩序和约束。事实上，缺乏一个中央权威来管理国际关系体系（实际上处于准无政府状态）迫使国家陷入“安全困境”。各国感到有必要武装自己以求保护，但这并不会使它们更安全，因为其他国家也在做同样的事情。他们还同意，各国已寻求在无政府状态下建立秩序，通过合作防止冲突，以便行为规则得以存在，经济层面的某种合作也成为现实。最后，约束问题在于，相互依存决定了任何国家都不能不考虑其行为对其他国家造成的后果而采取行动。鉴于无政府状态和秩序的竞争因素是国际体系的主要特征，而国家受到约束是普遍存在的现实，新现实主义者认为权力在国际关系中的作用至关重要。

The neorealist perspective accepts some of the premises of realism. For instance, neorealists agree that international relations are faced with three problems: anarchy, order, and constraints. The fact that there is no central authority to govern the international system (that it is, in fact, in a situation of quasi-anarchy) forces the states into a “security dilemma.” States feel impelled to arm themselves for protection, but this does not make them more secure because other states do the same thing. They also agree that states have sought to impose order on the anarchy, cooperating to prevent conflicts, so that rules of behavior do exist and some cooperation on an economic level is also a reality. Finally, the problem of constraint is that interdependence dictates that no state can act without taking the consequences of its actions for other states into consideration. Given that the competing factors of anarchy and order are dominant characteristics of the international system and that constraint on the part of the state is the prevailing reality, neorealists maintain that the role of power in international relations is of fundamental importance.

国家目标

The Goals of States

国家想要什么？我们已经提到，国家安全是各国的共同目标。然而，国家只能获得一定程度的安全，而无法获得完全的安全。即使是大国也无法主宰自己的命运。

What do states want? We have already mentioned that a common objective of states is national security. However, states can attain only a degree of security, not total security. Not even the great powers are masters of their fate.

安全可以分为几个类别。首先，仅仅是一个国家的实体生存。近年来，以色列就是一个不得不担忧自身生存的国家的例子。以色列被誓言要消灭它的阿拉伯国家包围，被迫保持高度警惕，其政策制定者有时也会因为国家脆弱性所造成的紧张局势而采取一些夸大其词的行动。

Security is broken down into several categories. First, there is simply a state’s physical survival. An example in recent years of a state that has had to worry about its very survival is Israel. Surrounded by Arab states sworn to annihilate it, Israel has been forced to be extremely vigilant, and its policy makers consequently sometimes exaggerate in some of the actions they take as a result of the tensions produced by the state’s vulnerability.

2001年9月11日恐怖袭击事件后，美国也不得不担忧自身的安全。这种担忧至今仍未催生出一项重要的国防计划，因为在一个自由社会中，设计出一种万无一失的安全保障方法极其困难。事实上，目前美国国内正因国家安全局（NSA）的行为而引发争议。该机构被指控监视美国民众以及其他国家的元首。该机构坚称其致力于保障美国人的安全，但无论出于何种原因，许多美国人都讨厌被监视。

Following the September 11, 2001, terrorist attacks, the United States has also had to worry about its security. The worry has still not produced a significant program of defense, as it is very difficult in a free society to design a foolproof method of ensuring security. At present, in fact, there is a controversy going on in the United States because of the actions of the NSA, the National Security Agency, which has been accused of spying on the American people, as well as on other heads of state. The agency maintains that it is trying to ensure the security of Americans, but many Americans dislike being spied upon, no matter the reason.

国家安全通常被理解为维护国家领土完整。由于过去的冲突，许多国家的边界已经移动。波兰的边界向西移动，前苏联的边界也是如此。国家之间经常发生领土冲突。中国希望收回19世纪被俄国沙皇夺走的部分领土，但现在的俄罗斯拒绝归还。俄罗斯希望继续拥有乌克兰，事实上它已经占领了克里米亚和乌克兰东部的一小块土地，因此冲突正在进行中。西藏希望收回中国占领的领土，但中国更愿意保留它。一些新兴的后殖民国家希望恢复民族团结，但另一些国家则认为保卫从殖民前辈手中获得的领土对它们有利。

National security is more commonly interpreted as referring to the preservation of a state’s territorial integrity. Because of conflicts in the past, the borders of many states have shifted. Poland’s borders have moved westward, as did those of the former Soviet Union. Conflicts concerning territory are frequent among states. China would like to reclaim some territory that was taken away from it by the Russian czars in the nineteenth century, but the present Russia refuses to give it back. Russia would like to be still in possession of Ukraine, and has in fact appropriated Crimea and a slice of eastern Ukraine, and so a conflict is in progress. Tibet would like to regain the territory that China took over, but China prefers to keep it. Some of the new postcolonial nations would like to restore ethnic unity, but others feel it is to their benefit to defend the territory they acquired from their colonial predecessors.

国家安全也被解读为政治独立，即一个国家不受外国控制的自由，维护其政治和经济体系，以及维护其价值观、社会关系模式、生活方式和其他国家特征。美国之所以卷入两次世界大战以及后来的冷战，主要是因为其领导人认为，一个由反民主势力主导的欧洲不仅威胁到美国的安全，也威胁到美国能够自由生存和繁荣的世界环境。美国不希望看到民主被极权国家消灭；民主是它不仅为自己国家，也为整个世界所维护的价值观。

National security is also interpreted as meaning political independence, a state’s freedom from foreign control, the preservation of its political and economic systems, and the maintenance of the values, patterns of social relations, lifestyles, and other features of a nation’s character. The United States became involved in the two world wars and later in the Cold War primarily because its leaders felt that a Europe dominated by antidemocratic powers was a threat not only to the security of this nation but also to the kind of world environment in which the United States could freely exist and flourish. It did not want to see democracies extinguished by totalitarian states; democracy was a value it wanted to preserve not only for its own nation but also for the world as a whole.

国家威望是国家的另一个目标，通常与军事实力息息相关。在这方面，越南战争的僵局、伊朗占领美国大使馆，以及最近在伊拉克和阿富汗的战争，都严重打击了我们的威望。

National prestige, usually related to military power, is another objective of states. In this regard, the stalemate of the Vietnam War and the seizure of the U.S. embassy by Iran, as well as the more recent wars in Iraq and Afghanistan, have been severe blows to our prestige.

经济安全——财富与繁荣——不仅是西方国家的目标（西方国家通常都实现了这种安全），也是前苏联和欠发达国家的目标。后者在冷战时期奉行不结盟政策，以吸引两个超级大国的援助。随着缓和（或两个超级大国之间冲突的解冻），这些国家的需求不断升级，未来富国和穷国之间在财富再分配方面的对抗很可能会加剧。

Economic security—wealth and prosperity—has been a goal not only of Western nations, which as a rule have attained such security, but also of the former Soviet Union and the less-developed countries. The latter pursued a policy of nonalignment during the Cold War years to attract assistance from both superpowers. With the coming of détente (or the thawing of the conflict between the two superpowers), the demands of these nations have escalated, and it may well be that confrontations between the “have” and “have-not” states regarding a redistribution of wealth will increase in the future.

最后，保护或推广某种意识形态也是一些国家的目标。美国为了捍卫民主意识形态，发动了“热战”和“冷战”。前苏联和中国等革命政权也试图打着共产主义意识形态的旗号扩大其影响力和权力。尽管大多数意识形态都是世俗的，但在伊朗最高领袖霍梅尼的领导下，一种宗教意识形态被宣扬开来。伊斯兰原教旨主义的目标是在整个阿拉伯世界恢复传统的宗教价值观，并在中东和西亚地区摧毁西方世俗价值观，他们继续以针对西方目标的恐怖主义行动来表达自己的意图。其结果是，不同意识形态国家之间的冲突加剧。

Finally, the protection or the promotion of an ideology is also an objective of some states. The United States has engaged in war, both “hot” and “cold,” in defense of the democratic ideology. Revolutionary regimes, such as those of the former Soviet Union and China, have also sought to expand their influence and power under the banner of the communist ideology. Although most ideologies have been secular, under the Ayatollah Khomeini of Iran a religious ideology was promulgated. Islamic fundamentalism, with the aim of restoring traditional religious values throughout the Arab world and of destroying secular Western values in the Middle East and West Asian regions, continues to express itself in terrorist actions against Western targets. The result is that conflicts between states of differing ideologies are exacerbated.

目标的竞争

The Competition of Objectives

显而易见，这里列出的众多目标（而且只是部分目标）中，有些目标彼此矛盾，或者以牺牲其他目标为代价。安全与经济福利之间的冲突之一，或者用经济学家的话来说，就是大炮与黄油之间的冲突。显然，如果一个国家在军备建设上投入更多，那么它在建设学校、医院和高速公路，或消除贫困方面的投入就会减少。而如果公民必须为同一目的缴纳更多税款，那么他们用于购买住房或子女教育的资金就会减少。关于哪个目标应该优先考虑的争论在大多数国家都有；如何解决，很大程度上取决于一个国家的传统和自我形象。例如，前苏联曾遭受侵略，因此更愿意在军备方面投入资金。西方大国，尤其是美国和英国，较少遭受侵略，往往优先考虑国内事务，尽管这两个国家都为国防预算投入了大量资金。

It should be obvious that of the number of objectives listed here—and it is only a partial list—some are incompatible with others, or come at the expense of others. One such conflict is between security and economic welfare or, as economists say, guns and butter. Clearly, if a nation spends more on building arms, it has less to spend on building schools, hospitals, and highways, or on eradicating poverty. And if citizens must pay more taxes for the same purpose, they have less money with which to buy housing or education for their children. The argument about which should have priority goes on in most nations; how it is resolved depends a great deal on a nation’s tradition and self-image. For instance, the former Soviet Union, having been subject to aggression, has been more willing to spend money on armaments. Western powers, particularly the United States and Great Britain, less subject to aggression, tend to give priority to domestic affairs, although both nations budget high amounts for defense.

与此相关的问题是，是否应该以安全的名义牺牲民主价值观。冷战期间，参议员约瑟夫·麦卡锡对他认为同情共产主义的美国人进行了“政治迫害”。他的行为毁掉了受害者的职业生涯和生活，无疑侵犯了他们的公民权利和人权。20世纪60年代和70年代，美国行政部门和中央情报局都参与了维护安全的活动，这些活动不仅不民主，而且违宪（中央情报局策划了多起针对其他国家领导人的暗杀行动，并帮助推翻了智利合法选举产生的政府）。如今，这些机构和国家安全局被指控通过收集电话和电子邮件信息进行无证监视，严重侵犯了美国人的隐私。

Related to this is the question of whether democratic values should be sacrificed in the name of security. During the Cold War, Senator Joseph McCarthy engaged in a “witch hunt” against Americans whom he considered to be communist sympathizers. His actions ruined careers and lives and certainly infringed on the victims’ civil and human rights. In the 1960s and 1970s, both the executive branch and the Central Intelligence Agency were involved in activities that were unconstitutional—in addition to being undemocratic—to preserve security (the CIA planned a number of assassinations of leaders in other countries and helped overthrow a legitimately elected government in Chile). Today, those agencies and the National Security Agency are being accused of warrantless surveillance by collecting telephone and e-mail information, thus seriously invading the privacy of Americans.

实现目标的手段：外交政策

Means of Achieving Goals: Foreign Policy

民族国家试图实现的许多目标都蕴含在每个国家的外交政策中。一个国家的外交政策由政府为实现以下目标而采取的行动构成：一个国家在与其他国家的关系中追求某些目标。这些行动可能涵盖各种各样的活动，从非正式谈判到宣战，从学者或艺术家交流到贸易抵制。这些行动可能涉及经济、政治、文化或军事领域。换句话说，一个国家通过其外交政策追求其自身定义的国家利益，但每个国家的利益都与其他国家不同，有时甚至相互冲突。政治学家试图揭示所有国家外交政策的模式、指导原则或共同目标。他们发现，权力在决定外交政策方面具有首要地位。

Many of the goals that nation–states attempt to reach are inherent in each nation’s foreign policy. A nation’s foreign policy consists of the actions the government takes to achieve certain goals in its relations with other nations. These actions may span a wide variety of activities, from informal negotiations to declarations of war, from exchanges of scholars or artists to trade boycotts. The actions may be taken in the economic, political, cultural, or military sphere. In other words, a nation, through its foreign policy, pursues its own self-defined national interest, but each nation’s interest differs from, and sometimes conflicts with, the interests of other nations. Political scientists have tried to uncover a pattern, a guiding principle, or a common goal that characterizes the foreign policies of all nations. What they have found is the primacy of power in dictating foreign policy.

力量

Power

正如之前反复提到的，国际关系是在“权力”这一重要概念的框架下发生的。权力既作为社会学概念，也作为国家内部的政治控制工具，已被广泛讨论。在国际背景下，权力的本质具有更多特征，必须从更广阔的视角来审视。

As has been said repeatedly before, international relations occur within the framework of the important concept of power. Power has already been discussed both as a sociological concept and as a political instrument of control within a nation. In an international context, the nature of power has additional features and must be viewed in a wider perspective.

在国际关系的语境中，权力可以被定义为“一个国家运用其有形和无形资源来影响其他国家行为的能力”（Stoessinger，1975，25）。乍一看，一个国家的权力似乎与其能力成正比。然而，这种观点并不完整。更正确的说法是，一个国家的权力既受到心理因素（其他国家如何看待它，或者它认为其他国家如何看待它）的影响，也受到关系因素（它相对于其他国家拥有多少权力）的影响。当两个国家拥有完全相同的能力时，任何一方都无法压制另一方，从而形成僵局。

In the context of international relations, power may be defined as the “capacity of a nation to use its tangible and intangible resources in such a way as to affect the behavior of other nations” (Stoessinger, 1975, 25). At first sight, it may appear that a nation has power in proportion to its capabilities. However, this notion is incomplete. It is more correct to say that a nation’s power is influenced by both psychological factors—how other nations view it, or how it thinks other nations view it—and relational factors—how much power it has in relation to other nations. When two nations have exactly the same capabilities, neither has power over the other, and a stalemate exists.

过去，地理因素在决定国家实力方面发挥着战略性作用。如今，由于现代武器的先进性，这一作用已大大减弱。如今，一个国家的实力或许取决于其拥有的自然资源，尤其是在拥有先进技术和强大经济的情况下，但仅凭自然资源并不能证明一个国家的实力。

In the past, geography played a strategic role in determining the power of nations. Today this role has been greatly reduced because of the sophistication of modern arms. A nation’s power may now be determined by the possession of natural resources, particularly if these are accompanied by advanced technology and a strong economy, but natural resources alone do not justify a nation’s power.

人口或许是影响一个国家实力的一个因素，这取决于国家能否有效地利用人口发展现代工业基础。政府类型会影响国家实力，但这并不意味着民主国家就是最强大的。

Population may be a factor in a nation’s power, depending on whether it is harnessed profitably by the state to develop a modern industrial base. The type of government has bearing on national power, but it does not follow that democratic nations are the most powerful.

民族性格认知和高昂士气等心理特质在决定国家实力方面也同样重要。这些特质源于国家的文化、历史经验和社会结构。民族主义，尤其是意识形态的发展，对一个国家的实力有着深远的影响。最后，一个国家的领导力，尤其是在世界范围内展现的领导力形象，也是国家实力的另一个源泉。

Psychological attributes such as a perception of national character and high morale are equally important in determining national power. These attributes are derived from the culture, the historical experience, and the social structure of nations. Nationalism, and particularly the development of an ideology, has a profound influence on a nation’s power. Finally, a nation’s leadership, especially the image of leadership that is projected around the world, is yet another source of power.

因此，实力并非仅仅取决于规模或能力。许多相对贫穷的小国成功阻止甚至击败超级大国的例子不胜枚举。心理因素，尤其是民意以及政府对民意的运用，是国家实力的重要来源。

Power, then, is a function of neither size nor capability alone. There have been many instances of small and relatively poor nations successfully holding off, or even defeating, a superpower. Psychological factors, especially the will of the people and the use the government makes of it, are important sources of national power.

一些政治学家否认权力在定义国家利益中的核心作用，他们认为权力只是决定国家利益的一个因素。并非所有国家的目标都必然具有竞争性。有些国家实际上鼓励其他国家获取权力，或者至少表达出对其他国家福祉的关注。有些国家的目标是绝对的，而非竞争性的。例如，瑞士并不试图与任何其他国家竞争；它只追求自身利益。权力和道德都是决定国家利益的因素，两者在不同程度上各占主导地位。有时，国家有足够的实力采取道德行动，而有时，国家却缺乏这样的实力。

The central role of power in defining national interest is denied by some political scientists who maintain that power is only one factor in the determination of national interest. The goals of all nations are not necessarily competitive. Some nations actually encourage the acquisition of power by other nations or at least express a preoccupation for the welfare of other nations. The goals of some nations are absolute and not competitive. Switzerland, for example, does not try to compete with any other nation; it simply looks out for its own self-interest. Power and morality are both factors that enter into the determination of national interest, with one predominating over the other at different times. Sometimes nations have enough power to be able to afford to act morally, and at other times they lack such power.

美国外交政策目标

Goals of American Foreign Policy

美国外交政策的目标可以概括如下：首先，核心目标是保护国家实体安全。这是每个国家外交政策的首要目标，但美国在这方面比大多数国家都做得更好。事实上，自1812年战争以来，美国本土从未被任何外国军队占领过。相比之下，欧洲大陆国家在20世纪两次被入侵，在19世纪更是屡遭入侵。然而，恐怖主义的威胁改变了我们的安全状况。

The goals of U.S. foreign policy can be said to include the following: first, the central goal is to protect the nation’s physical security. This is a primary goal of every nation’s foreign policy, but the United States has been more successful in it than most. In fact, since the War of 1812, no foreign armies have occupied the continental United States. In contrast, the nations of continental Europe were overrun twice in the twentieth century and repeatedly in the nineteenth century. However, the threat of terrorism has changed the state of our security.

第二个目标是保护美国主要盟友的实体安全。例如，自二战以来，美国一直致力于保护西欧国家（通过北约），同时也致力于保护其他大洲的国家：日本、韩国和以色列。

A second goal is to protect the physical security of the principal allies of the United States. For instance, since World War II, the United States has committed itself to protect the nations of Western Europe (through NATO), as well as to protect nations on other continents: Japan, South Korea, and Israel.

第三个目标是保护国家的经济安全。这意味着美国必须能够从愿意出售的国家购买其所需的资源，并向愿意购买的国家出售制成品或农产品。海外销售比想象中要困难得多，因为美国产品与国内生产存在竞争，因此购买这些产品可能不符合购买国的自身利益。然而，开拓海外市场符合美国的自身利益。

A third goal is to protect the economic security of the nation. This means that the United States must be able to buy the resources that it needs from nations willing to sell and sell manufactured goods or agricultural products to nations willing to buy. Selling abroad is more difficult than it might appear because products from the United States compete with domestic production, so their purchase may be against the self-interest of the buying nation. Yet foreign markets are in the self-interest of the United States.

二战后发展起来的另一个目标被称为“遏制”，意在限制共产主义的蔓延。每当世界任何地方发生与苏联或中国相关的冲突时，美国的外交政策都会要求采取某种形式的干预。然而，随着共产主义威胁基本消失，遏制的问题已变得毫无意义。

Another goal, developed in the post-World War II era, was called containment and meant an effort to limit the spread of communism. Whenever a conflict arose anywhere in the world that had links to the Soviet Union or China, American foreign policy dictated some type of intervention. However, as the communist threat has largely disappeared, the question of containment has become moot.

最后，美国外交政策最古老的目标一直是阻止外国势力进入北美、南美和加勒比地区。门罗主义于1823年首次提出，旨在警告欧洲国家不要介入拉丁美洲，因为拉丁美洲被认为是美国的势力范围。该主义在一些中美洲国家受到了挑战，这些国家的独裁政权曾得到美国的支持，苏联武装的当地游击队也曾与中央政府作战。

Finally, the oldest goal of American foreign policy has been to keep foreign powers out of North America, South America, and the Caribbean. First articulated in 1823, the Monroe Doctrine was a warning to the European states to stay out of Latin America, which was considered to be in the American sphere of influence. The doctrine has been challenged in a number of Central American nations, whose authoritarian regimes the United States had supported and in which Soviet-armed native guerrillas fought against the central governments.

因此，外交政策本身难以轻易定义。尽管外交政策无法形成一个明确的概念，但权力之争和对秩序的关注在世界各国关系中却显而易见。

Foreign policy, therefore, does not lend itself to easy definitions. Although a definitive concept of foreign policy cannot be formulated, the themes of struggle for power and concern for order are apparent in the relationships of nations around the world.

美国与世界上几乎所有约200个国家都保持着外交关系。美国针对这些国家的外交政策或多或少都是量身定制的。美国力求了解每个国家的价值观、利益、目标和能力，并据此采取行动。两国关系不断受到美国国内事务（包括我们自己以及其他国家的内部事务）以及影响其内部事务的外部条件的影响。美国与其他国家有着众多承诺和协议；我们通常无法单独行动，而必须与其他国家协同行动。由于外交关系的复杂性，每个国家都建立了庞大而复杂的官僚机构，负责收集情报、研究和分析外交政策的方方面面。更多关于美国外交政策的详细信息，请访问：www.ushistory.org/gov/11a.asp。

The United States maintains diplomatic relations with almost all of the approximately 200 nations of the world. American foreign policy as it relates to each of these countries is more or less custom made. The United States tries to be aware of each country’s individual values, interests, goals, and capabilities and to act in accordance with them. Relations are constantly affected by internal affairs, our own as well as those of other nations, and by external conditions that influence internal affairs. Americans have numerous commitments and agreements with other nations; often, we cannot act alone but must act in unison with others. As a result of the complexity of foreign relations, each nation has developed a large and complicated bureaucratic structure that gathers intelligence, researches, and analyzes foreign policy in every specific detail. Get more details on American foreign policy at: www.ushistory.org/gov/11a.asp.

外交政策决策的类型

Types of Foreign-Policy Decisions

外交政策决策本质上掌握在个人手中。个人会受到其他个体、心理因素或特定时空条件的压力和影响；他们也会受到自身所处组织环境的限制。这种环境可以分为三种类型。

Foreign-policy decision making is essentially in the hands of individuals. Individuals are pressured and influenced by other individuals, by psychological factors, or by specific conditions present at the time; they are also limited by the organizational context in which they must operate. This context may be differentiated into three types.

图片 19.3美国国务院对行政外交政策决策负有主要责任，尽管其他机构也参与此类决策。

IMAGE 19.3 The U.S. Department of State has the primary responsibility for administrative foreign policy decisions, although other agencies share in such decision making.

©美联社照片/卡罗琳·卡斯特

一般外交政策决策是通过政策声明和直接行动来表达的。例如，二战后美国的遏制政策。该政策不仅体现在总统的讲话和著作中，也体现在诸如越南战争（美国希望遏制共产主义在亚洲的蔓延）等行动中。它可能针对整个国际社会，也可能指某项具体行动。它往往比较模糊，通常以公开声明的形式表达，有时只有明确的计划作为后盾。公共政策声明并非总是真实，可能旨在取得特定效果。它们也并非总是前后一致。因此，确定一个民族国家的一般外交政策并非易事。

General foreign-policy decisions are those that are expressed in policy statements and in direct actions. An example was the American policy of containment following World War II. The policy was expressed in presidential addresses and writings but also in actions, such as the Vietnam War (the United States wanted to contain the spread of communism in Asia). It may be directed to the whole international community or refer to one specific action. It tends to be vague and is usually expressed in public statements, only sometimes backed up by definite planning. Public policy statements are not always truthful but may be designed to obtain particular effects. Neither are they always necessarily consistent. Consequently, it is not always easy to determine the general foreign policy of a nation–state.

另一种外交政策决策是行政决策。行政决策由负责外交事务的政府官僚机构制定。在美国，国务院承担主要职责，但其他机构，例如军事、情报机构和商务部，也可能参与影响外交政策的行政决策。一般外交政策由政治领导人制定，而官僚机构有时也会通过行政决策来执行政策。

Another type of foreign-policy decision is administrative. Administrative decisions are made by the government bureaucracy whose members are in charge of foreign affairs. In the United States, the Department of State has this primary responsibility, but other agencies such as the military and intelligence agencies and the Department of Commerce may all share in the administrative decisions that affect foreign policy. Whereas general foreign policy is determined by political leaders, bureaucrats implement policy through administrative decisions on some occasions.

第三种外交政策决策是危机决策。当一个国家认为某种情况将标志着其与国际社会中一个或多个其他国家关系的转折点时，就会发生外交政策危机。决策的必要性被认定为紧迫。决策者被迫考虑多种选择，而一个或多个相关国家则认为某些关键目标受到了危机的威胁。危机决策通常由一般人员和行政人员共同制定。

The third type of foreign-policy decision is the crisis decision. A crisis in foreign policy occurs when one state feels that a certain situation will mark a turning point in its relationship with one or more other states in the international community. The need for a decision is perceived as urgent. Decision makers are forced to consider a number of alternatives, and one or more of the states involved feel that some crucial goals are threatened by the crisis. Crisis decisions are usually made with a combination of general and administrative personnel.

这三种外交政策紧密交织；通常，一种政策源于另一种政策，并反过来影响另一种政策。危机决策的一个例子是政府选择对美国遭受的恐怖袭击作出军事回应，首先是在阿富汗采取军事行动，然后推翻伊拉克独裁者并随后占领该国。

The three types of foreign policies are deeply intertwined; often, one results from and in turn affects another. An example of a crisis decision was the administration’s choice to respond militarily to the terrorist attack on the United States, first by the military action in Afghanistan and then by the overthrow of the dictator of Iraq and the subsequent occupation of that country.

意识形态和道德在外交政策中的作用

The Role of Ideology and Morality in Foreign Policy

外交政策始于国内政策，而国内政策却深刻地影响着一个国家的外交政策。美国国内政策受美国历史经验的支配，而美国的历史经验是革命性的，并以自由理念为指导。因此，自决权、多数人统治和异议权一直是美国意识形态的核心概念。由于美国人曾经经历过革命战争，他们同情革命事业；由于他们曾经是殖民地，他们正式谴责殖民主义；由于他们曾经是一个欠发达国家，他们向欠发达国家提供援助；由于他们是一个宪政民主国家，他们与其他类似国家结盟，反对以极权或独裁手段统治的政府；最后，由于他们将民主和自由与热爱和平联系在一起，他们将好战的扩张主义倾向归咎于暴政和独裁。至少，这是美国意识形态的官方说法。

Foreign policy begins where domestic policy ends, but domestic policy deeply affects a nation’s foreign policy. U.S. domestic policy is governed by the American historical experience, which has been revolutionary and guided by ideas of freedom. Therefore, self-determination, majority rule, and the right of dissent have been major concepts of American ideology. Because Americans once fought a revolutionary war, they are sympathetic to revolutionary causes; because they once were a colony, they officially decry colonialism; because they were once an underdeveloped country, they engage in aid to less developed nations; because they are a constitutional democracy, they align themselves with other such nations and oppose governments that rule by totalitarian or dictatorial means; finally, because they link democracy and freedom to love of peace, they attribute warlike expansionist tendencies to tyrannies and dictatorships. At least, such is the official version of American ideology.

显然，美国人并非总是按照这种意识形态行事，无论是在国内还是外交政策制定中。然而，他们如此执着于这种官方版本，以至于他们永远无法只为国家利益或国家经济福祉而行动。国内舆论和国外预期不允许他们这样做。

Clearly, Americans do not always act according to such an ideology, either in domestic or in foreign policy making. Still, they are so committed to this official version that they can never act solely in the national interest or only for the economic well-being of the nation. Public opinion at home and expectations abroad do not allow it.

外交政策中的道德

Morality in Foreign Policy

尽管外交政策的本质是服务于国家利益并维护其生存，但长期以来盛行的观点认为，这种政策也必须是“道德的”。当然，道德是一个相对的概念，对道德的解读会随着时间和地点的变化而变化。因此，很难对道德外交政策做出明确的定义。

Although the essence of foreign policy is to serve a nation’s interest and preserve its survival, the idea has long prevailed that such a policy must also be “moral.” Morality, of course, is a relative term, and interpretations of what is moral change with time and place. It is difficult, therefore, to make definitive statements about a moral foreign policy.

美国经常谴责其他国家剥夺部分公民的人权。例如，中国就一再回应称，这种谴责相当于干涉中国内政。中国对吗？美国对吗？两国在各自情况下都正确吗？在外交政策中追求道德是否明智？是否可能？

The United States has frequently condemned other nations for denying human rights to some of their citizens. China, as one example, responds repeatedly that such condemnation is equivalent to interfering with its domestic affairs. Is China right? Is the United States right? Are both nations right in each context? Is it advisable to strive for morality in foreign policy? Is it possible?

从过去的经验和对当前世界局势的观察来看，道德显然应该发挥作用，但它是否真的发挥作用则尚不确定。在外交政策的具体运用中，道德并不能提供足够的指导。我们无法用对错来评判，因为每种文化对是非的解读都不同。更常见的是，外交政策的运用变成了一种对与一种错的对立；也就是说，每种情况都需要单独处理。在一个似乎常常被个人和国家贪婪所驱动的世界里，我们有必要在两害相权取其轻，而不是选择善而不是恶。在这样的世界里，道德更多时候是一种美学或修辞手段，很少成为一种行为准则。

From experiences of the past and from viewing the current situation around the world, it becomes clear that morality should play a role, but it is uncertain that it ever will. In the concrete application of foreign policy, morality does not offer sufficient guidance. It is impossible to speak in terms of right versus wrong because each culture interprets right and wrong differently. More often, the application of foreign policy becomes a matter of one right versus one wrong; that is, each situation is dealt with individually. In a world that frequently seems to operate on individual and national greed, it becomes necessary to choose the lesser of two evils rather than the good as opposed to the evil. In such a world, morality is more often a matter of esthetics or rhetoric and only seldom a prescription for behavior.

谁制定外交政策决策？

Who Makes Foreign Policy Decisions?

美国的外交政策决策并非由某个政府部门或机构单独制定，而是白宫、外交政策机构、国会和公众舆论共同参与的结果。

Foreign policy decisions in the United States are not made by one branch of government or by one agency alone. Rather, they result from the involvement of the White House, the foreign policy bureaucracy, Congress, and public opinion.

外交政策中最重要的决策者是总统。总统身边有他的幕僚，包括由总统、副总统、国务卿和国防部长组成的国家安全委员会（NSC），以及中央情报局（CIA）局长和参谋长联席会议主席（他们都是NSC的顾问），人们认为总统能够做出符合国家利益的最佳决策。

The most important decision maker in foreign policy is the president. Surrounded by his staff, the National Security Council (NSC) consisting of the president, the vice president, the secretary of state, and the secretary of defense, as well as by the director of the Central Intelligence Agency (CIA) and the chair of the Joint Chiefs of Staff (who are advisers to the NSC), the president is thought to be able to make the best decisions in the national interest.

尽管总统拥有强大的决策权，但他也必须关注外交政策官僚机构的影响，例如国务院、国防部、情报部门和其他联邦机构。这些机构由受过外交关系培训的职业官僚组成，就外交政策问题向总统提供建议，并实际执行总统和国会做出的决定。

Even though the president is powerful in decision making, he must also pay attention to the influence of the foreign policy bureaucracy, such as the State Department, the Defense Department, the intelligence community, and other federal agencies. These entities, staffed by career bureaucrats trained in foreign relations, offer advice to the president on issues of foreign policy, and they actually implement the decisions the president and Congress make.

纵观美国历史，国会对外交政策决策的影响力各不相同。在美国未受到外部威胁的时期，国会主导外交政策；但在面临威胁的时期，国会则听命于总统。国会通过以下方式影响外交政策：通过实质性立法（例如，为特定外交政策项目提供资金，而非其他项目，或监管贸易）；通过程序性立法（例如，通过改变行政部门决策程序的法案）。最后，国会议员还可以通过撰写社论、发表演讲、参加电视脱口秀等方式，试图改变国内舆论氛围，从而影响外交政策的某些具体方面。外交政策协会对外交政策的制定过程进行了更详细的解释，网址：www.fpa.org/features/index.cfm ?act=feature&announcement_id=45&show-sidebar=0 。

The influence of Congress over foreign policy decision making has varied through American history. In times when the United States was not threatened from abroad, Congress dominated foreign policy, but in times when threats were feared, Congress deferred to the president. Congress affects foreign policy by passing substantive legislation (for instance, funding specific foreign policy ventures and not others or regulating trade), by passing procedural legislation (i.e., passing bills that change the procedure that the executive branch uses to make decisions). Finally, members of Congress can attempt to change the climate of opinion in the country by writing opinion editorials, giving speeches, appearing on television talk shows, and so on, to affect some specific aspect of foreign policy. The Foreign Policy Association has a more detailed explanation of how foreign policy is made at: www.fpa.org/features/index.cfm?act=feature&announcement_id=45&show-sidebar=0.

外交政策工具

Tools of Foreign Policy

外交政策利用哪些工具来实现其目标？其中最重要的是联合国、外援、集体安全、军事机构和宣传。

What are the tools with which foreign policy accomplishes its goals? Among the most essential are the United Nations, foreign aid, collective security, the military establishment, and propaganda.

联合国

The United Nations

联合国（UN）成立于1945年，其宗旨是建立一个由各国组成的共同体，一个能够采取集体行动捍卫和追求和平与人类尊严的世界机构。然而，联合国在维护和平方面却收效甚微。其失利部分源于其组织结构。拥有15个成员国的安理会无法对其五个常任理事国的否决权采取行动，而所有成员国所属的联合国大会则可以在安理会成员国未能达成一致意见时采取行动。联合国在某些情况下发挥了有效作用，但在其他情况下则显得无效。

The United Nations (UN) was founded in 1945 for the purpose of establishing a community of nations, a world body able to take collective action in defense and pursuit of peace and human dignity. Unfortunately, the UN has not had much success in keeping the peace. This lack of success can be partially blamed on the organization’s structure. The 15-member Security Council cannot act over the veto of any of its five permanent members, although the General Assembly, to which all member nations belong, can act when the Security Council members fail to reach unanimity. The UN has functioned as an effective force in some instances but has been ineffective in others.

美国曾试图将联合国作为其外交政策的关键工具，尤其希望借此发挥力量平衡的作用：美国无需真正干涉其他国家事务即可对其施加影响。例如，在朝鲜战争期间，美国得以以代表联合国官方维和部队的名义在朝鲜使用其驻军。然而，朝鲜战争结束后不久，美国便不再能够控制联合国新成员国的接纳。当时，成员国数量从约60个增加到130个（如今约为192个）。美国在联合国的影响力逐渐减弱，联合国的氛围也从亲西方转变为中立，有时甚至反西方。尽管如此，联合国确实提供了一个讨论的平台，有时有助于缓和紧张局势。此外，联合国的经济、社会和卫生机构也改善了世界各地许多人的生活条件。

The United States intended to use the UN as the key instrument of American foreign policy, particularly to play the balance-of-power role: the United States could influence other nations without really intervening in their affairs. For instance, during the Korean War, the United States was able to use its own troops in Korea under the pretext that they represented the official UN peacekeeping force. Shortly after the Korean War, however, the United States was no longer able to control the admission of new members to the UN. At this time, membership rose from about 60 to 130 nation–states (today, it stands at around 192). The influence of the United States in the UN has lessened, and the atmosphere in the UN has changed from a pro-Western to a neutralist and sometimes an anti-Western stand. Nonetheless, the UN does provide a forum for discussions that sometimes help to defuse tensions. In addition, the economic, social, and health agencies of the UN have improved living conditions for many people around the world.

图片 19.4联合国在帮助因战争和冲突而流离失所的人们方面最为成功，但在防止此类战争和冲突方面却未能成功。

IMAGE 19.4 The United Nations has been most successful in helping people displaced by war and conflicts, but not in preventing such wars and conflicts.

外援

Foreign Aid

作为国际舞台上的强国，美国很早就开始利用其经济地位施加影响力。外交政策的经济手段可能采取赠款和贷款的形式。它们也可能包括建立和维护一个取代金本位的机构，并为一个国家提供开展国际贸易所需的货币。

As a major power in the international arena, the United States began early to exert influence through its economic position. The economic instruments of foreign policy may take the form of grants and loans. They may also consist of the development and maintenance of an institution that replaces the gold standard and supplies a nation with the currency needed to engage in trade on an international level.

加入联合国后不久，美国就被迫向多个国家提供军事援助。尽管这一行动源于一场危机——英国撤军希腊和土耳其，导致这些政权易受共产主义游击队的威胁——但各方都理解，这体现了我们重建和保卫那些渴望发展民主制度、抵御共产主义接管的国家的承诺。旨在帮助二战后欧洲复苏的马歇尔计划，其目的也基本相同。

Shortly after joining the UN, the United States found itself committed to giving military aid to several nations. Although this action was initiated by a crisis—Great Britain had pulled out of Greece and Turkey, leaving these regimes vulnerable to communist guerrilla forces—it was understood that this was part of our commitment to rebuild and defend nations that wanted to develop democratic systems and to ward off communist takeovers. The Marshall Plan, set up to aid in the recovery of post-World War II Europe, had essentially the same purpose.

很难确切知道共产主义的蔓延是否真的受到美国外援的阻碍。然而，显而易见的是，外援在许多第三世界国家的国民生产总值中占据了相当大的比重。

It is difficult to know for sure whether the spread of communism was really impeded by American foreign aid. However, it is apparent that foreign aid has constituted a hefty proportion of the gross national product of many Third World nations.

集体安全

Collective Security

集体安全的概念最初体现在《国际联盟盟约》中，并保留在《联合国宪章》中。其基本原则是：（1）所有国家除自卫外，不得使用武力；（2）所有国家均同意，对一个国家的攻击就是对所有国家的攻击；（3）所有国家承诺联合起来制止侵略，恢复和平，并同意提供实现该目标所需的物资或人员；（4）由成员国代表组成的军事力量将击败任何侵略者，恢复和平。

Collective security is a concept that was first embodied in the Covenant of the League of Nations and has been retained in the Charter of the United Nations. Its basic tenets are that: (1) all nations reject the use of force except in self-defense; (2) all agree that an attack on one is an attack on all; (3) all nations pledge to join together to halt aggression and restore peace and agree to supply the material or personnel necessary to achieve that goal; and (4) a military force, composed of representatives of member nations, will defeat any aggressors and restore peace.

集体安全的概念类似于警察部队参与国内执法。例如，在美国，刑法认为犯罪分子不仅针对其他个人，而且针对社会（因此，在法庭诉讼中是“人民与被告”的对立）。此外，个人除非自卫，否则不得诉诸暴力，而且人们通过税收集体支持警察。

The idea of collective security resembles that of a police force involved in domestic law enforcement. In the United States, for instance, the criminal laws consider that a criminal commits a crime not just against another individual or individuals, but against the society (that is why in court proceedings it is “the people versus the defendant”). Moreover, individuals cannot resort to violence except in self-defense, and people collectively support the police through taxes.

尽管这一理念在国内行之有效，但在国际上却未能取得巨大成功。问题的本质在于各国不愿将其主权置于集体行动之下。各国政府保留着以狭隘的国家利益视角看待冲突的权利。他们要么基于自身民族中心主义的观点支持或反对联合国的行动。简而言之，集体安全只是作为一种目标而存在，而非现实。

Although this concept works domestically, it has not been a great success internationally. The essence of the problem is the unwillingness of countries to subordinate their sovereignty to collective action. Individual governments maintain their right to view conflict in the narrow terms of their national interest. They either support or oppose UN actions based on their ethnocentric point of view. In short, collective security exists only as a goal, not as a reality.

军队

The Military

由于世界各地的军事承诺在外交政策中发挥着如此重要的作用，军事领域与政治领域原本的分离发生了转变。第二次世界大战前，常备军的规模和战备状态至关重要。自那时起，军事效能的衡量标准转向了技术。拥有最尖端技术的国家可以在国际舞台上挥舞最具威胁性的大棒。因此，国防开支持续攀升。长期以来，美国生产大量武器，既用于自身储存，也用于出口到其他国家。其附带效应是，庞大的国防工业的发展改善了美国的贸易平衡。军队也是外交政策的一种工具，因为从美国购买武器的国家都依赖美国的技术来保障其国防安全。

Because military commitments around the world have come to play such a significant role in foreign policy, the original separation of the military from the political sphere has undergone a transformation. Before World War II, the size and readiness of a standing army were important. Since then, military effectiveness has been measured in terms of technology. The nation with the most sophisticated technology can swing the most threatening stick in the international arena. Consequently, defense spending has continually escalated. The United States was producing, for a long time, large amounts of arms both for its own stockpiles and for export to other countries. As a side effect, the development of a large defense industry has improved the American balance of trade. The military is also an instrument of foreign policy because the nations that buy from the United States are dependent on American technology for their defense.

确保摧毁能力。冷战期间，军事力量被视为外交政策中尤为重要的工具，因为美国与苏联一直处于军备竞赛之中，核战争的危险始终存在。美国战略政策的基础是通过确保摧毁能力来遏制核攻击——简而言之，美国阻止其他国家攻击美国，因为这些国家知道美国拥有摧毁它们的手段。虽然这或许是一条合乎逻辑的防线，但美苏两国的确保摧毁能力足以将这两个国家，或任何其他国家，摧毁10倍甚至20倍。

Assured Destruction Capability. During the Cold War, the military was considered a particularly important instrument of foreign policy because the United States had been involved in an arms race with the Soviet Union, and there had been a perpetually present danger of nuclear war. The basis of the American strategic policy was to deter nuclear attack by assured destruction capability—in short, the United States kept other nations from attacking it because these nations knew that the United States had the means to destroy them. Although this may have been a logical line of defense, the assured destruction capability of both the United States and the Soviet Union was sufficient to destroy the two nations, or any others, 10 or 20 times over.

降级。关于裁军可能性的谈判断断续续已持续多年，但始终难以达成一致。1963年，约翰·肯尼迪总统宣布与苏联达成协议，禁止在空中、水下和外层空间进行核试验。尽管超过100个国家签署了这项协议，但法国和中华人民共和国这两个原子能大国却没有签署。1969年的《不扩散核武器条约》也出现了类似的情况，超过60个国家签署了该条约，但一些主要国家未能签署。两个超级大国最终同意通过签署在战略武器限制会谈（第一阶段限制战略武器条约和第二阶段限制战略武器条约）中达成的协议来减少军事军备的不断升级。自1979年以来，双方一直默许的第二阶段限制战略武器条约限制了战略武器的数量和类型。 1987年签署的《中程核力量条约》消除了美国和苏联所有射程在500至5000公里之间的导弹。1993年1月，作为其总统任期的最后一项举措，美国总统乔治·H·W·布什和俄罗斯总统鲍里斯·叶利钦签署了《削减战略武器条约》，要求到2003年将美国和俄罗斯的战略核武库削减三分之二。双方各自将核弹头数量限制在3000至3500枚之间，这比2003年大幅削减了1000至2500枚。较之前约11,000枚有所减少。1995年，克林顿政府将《不扩散核武器条约》（NNPT）作为其外交政策的支柱。尽管该条约被认为是朝着减缓（甚至阻止）核武器扩散迈出的积极一步，但并不能保证它一定会成功。事实上，许多国家已经成功或正在努力实现核能力。（近期，印度和巴基斯坦已经实现核能力，而朝鲜正在努力实现这一目标。还有一些国家正试图阻止伊朗获得核能力。）俄罗斯和美国现任总统签署了一项新的导弹防御条约。根据该条约，两国将在未来十年内将其核武库削减三分之一，至大约1,550枚战略核弹头，并将导弹和轰炸机削减至700架。奥巴马总统和其他一些国家的元首都希望进一步削减开支，但这是目前所能实现的最好结果。

De-escalation. Intermittent negotiations regarding the possibility of disarmament have long been going on, but it has been difficult to achieve any unanimity. In 1963, President John Kennedy revealed an agreement with the Soviet Union to ban nuclear testing in the air, under water, and in outer space. Although more than 100 nations signed this agreement, France and the People’s Republic of China, both atomic powers, did not. A similar situation occurred with the Nonproliferation Treaty of 1969, which was signed by over 60 nations but which several prominent nations failed to sign. The two superpowers finally agreed to decrease the constant escalation of military armament by signing agreements reached at the Strategic Arms Limitation Talks (SALT I and SALT II). The SALT II agreement, which had been tacitly observed by both sides since 1979, limited the number and types of strategic weapons. The Intermediate-Range Nuclear Forces Treaty of 1987 had eliminated all U.S. and Soviet missiles with ranges between 500 and 5,000 kilometers. In January 1993, as a last act of his presidency, President George H. W. Bush and Russia’s President Boris Yeltsin signed the Strategic Arms Reduction Treaty, calling for a two-thirds reduction in the strategic nuclear arsenals of the United States and Russia by the year 2003. Each side would be limited to 3,000–3,500 warheads, a dramatic decrease from the previous figures of approximately 11,000. In 1995, the Clinton administration made the Nuclear Non-Proliferation Treaty (NNPT) a bulwark of its foreign policy. Although this treaty is considered to be a positive step in the direction of slowing, if not stopping, the spread of nuclear weapons, there is no guarantee that it will succeed. In fact, a number of states have either succeeded or are trying to achieve nuclear capability. (In the recent past, India and Pakistan have achieved nuclear capability, while North Korea is working at achieving it. Several nations are attempting to keep Iran from getting it.) The current presidents of Russia and the United States have signed a new treaty on missile defenses. According to the treaty, both nations will cut their nuclear arsenals by a third, to approximately 1,550 strategic nuclear warheads over the next ten years, as well as missiles and bombers to 700 apiece. President Obama and a number of other heads of state would have preferred deeper cuts, but this is the best that could be achieved for the moment.

讽刺的是，冷战时期，尽管敌对气氛弥漫，但某种程度上的结构性、可预见性和等级制度，却有效遏制了核武器的扩散。如今，随着越来越多的国家（更不用说恐怖组织）认定拥有核武器对自身有利，更加碎片化和动荡的世界秩序或许会催生新的核扩散动机。

Ironically, during the Cold War, despite an atmosphere of hostility, there was a measure of structure, predictability, and hierarchy that kept the proliferation of nuclear weapons in check. Today, the much more fragmented and fluid world order may lead to new incentives toward proliferation, as more and more states (not to mention terrorist groups) decide that it is to their advantage to possess nuclear weapons.

军队的重要性也对国内事务产生了影响。军事机构已成为我们社会中一支重要力量。每年为军队拨款数十亿美元，庞大的官僚机构和一个重要的产业都依赖于此。随着军队从大学、科学家、实验室、航空航天工业承包商和个体研究公司中汲取知识，科学已被用于军队服务。

The importance of the military has consequences in the domestic arena, too. The military establishment has become an important force in our society. Billions of dollars are appropriated for the military yearly, and a large bureaucracy and an important industry depend on it. Science has been harnessed into its service, as the military draws from universities, individual scientists, laboratories, aerospace industry contractors, and individual research firms.

所谓的军工复合体——一个不一定担任政治职务的精英决策集团——早在艾森豪威尔政府时期就已被描述。当然，它的存在与民主原则不符。与此同时，一个参与世界政治的国家必须能够证明它能够随时捍卫其主权。为此，各种国防技术都被热切地寻求和开发，这进一步扩大了军工复合体的规模。

The so-called military–industrial complex—an elite decision-making group not necessarily holding political office—was described as early as the Eisenhower administration. Its existence, of course, is not consistent with democratic principles. At the same time, a nation that engages in world politics must be able to show that it can at all times defend its sovereignty. To that purpose, any defense technology is eagerly sought and developed, which further expands the military–industrial complex.

外交与外交官

Diplomacy and Diplomats

通过谈判开展国际关系是外交的定义之一（Stoessinger，1975，251）。外交的目的是使每个国家在不冒犯任何其他国家的情况下，最大限度地追求其国家目标。外交并非专门用于建立秩序或和平。有时，它被用来加剧两国之间的冲突。然而，通常情况下，外交手段意味着各国试图通过和平手段解决分歧。外交是一种古老的程序，也是实现政治秩序的重要工具。

The conduct of international relations by negotiation is one definition of diplomacy (Stoessinger, 1975, 251). The purpose of diplomacy is for each nation to pursue its national goals to its best advantage without offending any other nation. Diplomacy is not used to achieve order or peace exclusively. Sometimes it is used to intensify a struggle between two nations. Usually, however, the use of diplomacy implies that nations attempt to settle their differences by peaceful means. Diplomacy is an old procedure and a major tool used in the achievement of political order.

近年来，外交和外交官的形象发生了翻天覆地的变化。在旧有的外交体制中，外交官拥有很大的自由裁量权，而如今，他们往往只是信使。外交官常常被忽视，各国元首之间直接对话。各种峰会就是新方法的例证：各国元首与世界各国领导人讨论彼此间的分歧。最终，尽管峰会在特定情况下可能有所帮助，但它们似乎很少能解决根本分歧。过去50年美国最杰出的外交家是尼克松政府时期的国务卿亨利·基辛格。

Diplomacy and diplomats have been altered quite radically in recent years. In the old form of diplomacy, diplomats had large powers of discretion, whereas today they tend to be little more than messengers. Often, diplomats are ignored while heads of state deal directly with one another. The various summit conferences are illustrations of the new methods: heads of state discuss their differences with the world as their audience. In the end, it seems that although summit meetings may be helpful in specific circumstances, they seldom resolve basic differences. The consummate diplomat of the last 50 years in the United States has been Henry Kissinger, Secretary of State during the Nixon administration.

条约与联盟

Treaties and Alliances

或许最重要的外交政策工具——就美国如今相当依赖这些工具而言——是20世纪40年代末至50年代与各国达成的防御条约和安全协议。这些协议，无论是多边的还是双边的，最初旨在具体体现遏制政策。它们旨在通过与美国签订了共同防御条约的国家链，包围苏联和中国的势力范围。这些协议的措辞是：对一个国家的攻击将被视为对美国以及所有其他成员国的攻击。

Probably the most important instruments of foreign policy—in the sense that the United States has come to rely on them rather heavily—are the defense treaties and security arrangements with various nations that were formulated during the late 1940s and 1950s. These arrangements, multilateral or bilateral, were initially intended to give physical expression to the policy of containment. They were meant to encircle the Soviet and Chinese spheres of influence by a chain of nations with which the United States had treaties pledging mutual defense. The arrangements were so worded that an attack on one nation would be considered an attack on the United States, as well as on all the other member nations.

防御条约，尤其是长期条约，往往有助于改善成员国之间的关系，并有利于外交政策。例如，北约由28个国家组成，其中包括比利时、加拿大、丹麦、德国、法国、美国和英国（以及一些来自前东欧集团的新成员，如捷克共和国、匈牙利和波兰）。北约拥有共同的军事和民事机构架构。此外，一个成员国的军队驻扎在其他一些成员国，并进行大量的信息和技术交流。然而，共同防御联盟始终未能达到政策制定者的预期（表19.1）。

Defense treaties, especially long-term ones, tend to improve relations among member nations and benefit foreign policy. For example, NATO, which includes 28 nations among which are Belgium, Canada, Denmark, Germany, France, the United States and Great Britain (as well as a number of new members from the former Eastern bloc such as the Czech Republic, Hungary, and Poland) has a common structure of military and civilian bureaucracies. In addition, troops of one member country are stationed in some of the other member countries, and a great deal of information and technological skill is exchanged. Nonetheless, the mutual defense alliances have always fallen short of policy makers’ expectations (Table 19.1).

均势体系

The Balance-of-Power System

无论人们如何分析国际关系，都不得不回归权力在其中扮演的角色。由于缺乏一个制定国际政治决策的中央权威，各国必须找到其他常规行为模式，以此来共存和解决冲突、合作协调行动、保卫边界或充当侵略者。外部互动的形式是通过外交、战争、贸易或干预等传统手段进行的。然而，在这些形式之下，始终存在着一个均势体系，其特征在几个世纪中不断演变。

No matter how one approaches the analysis of international relations, one is forced to return to the role that power plays in them. Because of a lack of a central authority to make political decisions internationally, states must find some other regular pattern of behavior through which to coexist and resolve conflict, cooperate and coordinate their activities, defend their borders, or act as aggressors. The exterior forms of interaction occur through the traditional means of diplomacy, war, trade, or intervention. Underlying these formalities, however, there has always existed a balance-of-power system whose characteristics have varied through the centuries.

双极系统

The Bipolar System

当欧洲封建制度消亡后，各国主权的观念开始盛行。在君主制统治下，各国认为自己在境内拥有至高无上的权力，不受任何制度的束缚。主权国家存在于所谓的多极体系中，尽管它们的实力并不均衡。

When the feudal system vanished in Europe, the notion of each state’s sovereignty took hold. Ruled by monarchies, states thought of themselves as all-powerful within their own borders and not beholden to any system. Sovereign states existed in what was considered a multipolar system even though they were not equally powerful.

表 19.1 北约现有成员国

TABLE 19.1 Current Members of NATO

阿尔巴尼亚

Albania

爱沙尼亚

Estonia

拉脱维亚

Latvia

罗马尼亚

Romania

比利时

Belgium

法国

France

立陶宛

Lithuania

斯洛伐克

Slovakia

保加利亚

Bulgaria

德国

Germany

卢森堡

Luxembourg

斯洛文尼亚

Slovenia

加拿大

Canada

希腊

Greece

荷兰

The Netherlands

西班牙

Spain

克罗地亚

Croatia

匈牙利

Hungary

挪威

Norway

火鸡

Turkey

捷克共和国

Czech Republic

冰岛

Iceland

波兰

Poland

英国

The United Kingdom

丹麦

Denmark

意大利

Italy

葡萄牙

Portugal

美国

The United States

第二次世界大战后，力量平衡发生了变化。美国在战争中崛起，成为军事和经济超级大国。苏联虽然在战争中遭受了最大的破坏，却成为了美国的主要竞争对手。美苏对抗，即所谓的冷战，是基于各种经济和政治利益的。多极体系崩溃所造成的真空被新的两极体系所填补，世界政治的大部分权力都集中在两个超级大国身上。

Following World War II, the balance of power shifted. The United States emerged from the war as a military and economic superpower. The Soviet Union, although it had suffered the greatest damage in the war, emerged as the chief rival of the United States. The Soviet–American confrontation, known as the Cold War, was based on a variety of economic and political interests. The vacuum created by the collapse of the multipolar system was taken up by the new bipolar system, in which most of the world politics was centered on the two superpowers.

冷战催生了遏制主义，导致美国卷入朝鲜战争、古巴导弹危机以及越南战争，这场战争给美国带来了巨大的创伤。重新评估遏制共产主义的必要性，使得理查德·尼克松总统得以改善与苏联和中国的关系，最终出台了缓和政策。缓和政策源于法语，意为“缓解紧张局势”。这项政策打破了两个超级大国与中国之间的僵局，预示着最终的局势转变——三国之间建立友好关系。

The Cold War resulted in the doctrine of containment, which led the United States into a war in Korea, into the Cuban missile crisis, and into the war in Vietnam, which became traumatic for the United States. A reassessment of the need to contain communism allowed President Richard Nixon to improve relations with the Soviet Union and China, resulting in the policy of détente. Based on the French word meaning a “release of tension,” this policy broke the ice between the two superpowers and China, foreshadowing the eventual turn of events—amicable relations among the three nations.

一个新的多极世界

A New Multipolar World

从二十世纪最后几十年开始，力量平衡再次发生变化。原本不属于任何一极的势力在世界政治中占据了主导地位。随着苏联解体，中国与苏联的同盟关系自然不复存在。欧洲和日本实现了经济的强劲复苏，并奉行有利于自身国家利益的外交政策，这些政策有时与美国的利益相悖。然而，两极格局终结的决定性因素是苏联解体为俄罗斯联邦。

Beginning in the last decades of the twentieth century, the balance of power has again changed. Actors who were not part of either pole have gained ascendancy in world politics. China’s alliance with the Soviet Union has of course ceased to exist with the breakup of the latter nation. Europe and Japan have made great economic recoveries and follow foreign policies that favor their own national interests, which sometimes diverge from those of the United States. However, the determining factor of the loss of bipolarity was the breakup of the Soviet Union into the Russian Federation.

未来的力量平衡和美国外交政策将如何发展？这当然只是推测，因为就人类行为而言，没有绝对的确定性。一些政治学家认为，我们正在走向一个国家主权瓦解、超国家国际组织掌控更大权力的世界体系，在极端情况下，这可能导致一个世界政府的出现。在这种情况下，权力将呈现单极化。这样的体系有利有弊，但这似乎并非我们当前的命运。

What does the future hold in store relative to the balance of power and American foreign policy? This is, of course, a matter of speculation because there are no certainties as far as human behavior is concerned. Some political scientists maintain that we are moving toward a world system in which national sovereignty disintegrates and greater control is taken by a supranational international organization, which, in an extreme case, could result in a world government. In this case, power would be unipolar. Such a system would have advantages and drawbacks, but it does not seem to be our immediate fate.

国家间互动是国际关系的基本定义，国际关系是政治学的一个分支学科。人们对该学科的分析可以从多个理论层面进行，并得出多种结论。大多数学者认为，国际体系中最重要的参与者是民族国家，民族国家试图通过外交政策和外交手段实现特定目标，而国际体系的根基是军事实力。在此语境下，军事实力被定义为一个国家利用其有形和无形资源影响其他国家行为的能力。一个国家的军事实力并不总是取决于其能力。国家军事实力受到心理和关系因素的影响——其他国家如何看待一个国家，以及一个国家相对于其他国家的军事实力。

Interaction between and among states is the basic definition of international relations, a subdiscipline of political science. The discipline is analyzed from a variety of theoretical levels that result in a multiplicity of conclusions. Most scholars agree that the most important participants in the international system are nation–states, that nation–states attempt to attain specific objectives by means of foreign policies and diplomacy, and that underlying the international system is power understood as military strength. Power in this context is defined as the capacity of a nation to use its tangible and intangible resources to affect the behavior of other nations. The power of a nation is not always dependent on its capabilities. National power is influenced by both psychological and relational factors—how others view a nation and how powerful one nation is in relation to others.

外交政策旨在保护和促进国家独立、安全、荣誉和福祉。其目的在于追求各国各自定义的国家利益。一些政治评论家认为，追求权力是国家利益的核心。另一些人则认为，国家利益由权力和道德共同决定。

Foreign policy is intended to protect and promote national independence, security, honor, and well-being. It is designed to pursue national interest as it is defined by each nation. Some political commentators believe that the pursuit of power is the central concern of national interest. Others suggest that national interest is determined by both power and morality.

国家追求的目标可以分为竞争性目标和绝对性目标、明确目标和分散性目标、宣言性目标和行动性目标、静态目标和动态目标。国家利益的本质并非可以用单一因素的概念来解释。

The goals that nations seek may be divided into those that are competitive or absolute, those that are clearly defined or diffuse, those that are declaratory or action oriented, and those that are static or dynamic. The nature of national interest is not explained by single-factor concepts.

外交政策是由个人制定的，他们受到他人压力和影响，受心理因素和特定条件的影响，并受其所处组织环境的限制。外交政策决策分为三类：（1）一般外交政策决策，以政策声明和直接行动表达；（2）政府官僚机构的行政决策；以及（3）当一个国家认为特定局势标志着其与一个或多个其他国家关系的转折点时做出的危机决策。

Foreign policy is made by individuals who are pressured and influenced by others, by psychological factors, and by specific conditions and are limited by the organizational context in which they operate. There are three types of foreign policy decisions: (1) general foreign policy decisions, expressed in policy statements and direct actions; (2) administrative decisions made by the governmental bureaucracy; and (3) crisis decisions made when one state feels that a specific situation marks a turning point in its relationships with one or more other states.

外交政策受国内政策影响。美国国内政策以民主意识形态为指导，包括革命理想和自由理念。尽管美国人并非总是按照这种意识形态行事，但他们官方上对此秉持承诺。外交政策的问题在于，其他国家信奉其他意识形态，其中一些与美国意识形态相冲突。

Foreign policy is affected by domestic policy. American domestic policy is guided by the democratic ideology, including revolutionary ideals and the concept of freedom. Although Americans do not always act according to this ideology, they are officially committed to it. The problematic aspect of foreign policy is that other nations subscribe to other ideologies, some of which conflict with the American ideology.

外交政策的工具包括联合国、对外援助、集体安全、军事和宣传。联合国的权力不足，因为大多数影响世界和平的决策都是由主要大国政府做出的。美国对世界各国的援助或许有助于遏制共产主义，也确实促进了各国的经济。条约和安全协议改善了国家间的关系，但它们并非完全可靠。美国声称希望停止武器生产，但武器生产和储存长期以来一直在不断升级。现在有一些迹象表明，军备竞赛正在减弱。军备竞赛之所以不断升级，是因为每个大国都必须跟上其他大国的技术，才能拥有核武器来阻止相互毁灭。

The instruments of foreign policy include the United Nations, foreign aid, collective security, the military, and propaganda. The United Nations is not powerful enough because most decisions that affect world peace are made by the governments of the major powers. American aid to nations around the world may have helped contain communism and has definitely helped the economies of various nations. Treaties and security arrangements improve relations between and among nations, but they are never really totally dependable. The United States professes to want to halt the production of arms, but weapons production and stockpiling have escalated for a long time. Now there are some signs that the arms race is abating. The arms race had spiraled because each power must keep up with the technology of other powers if possession of nuclear arms is to act as a deterrent to mutual destruction.

外交是通过谈判来处理国际关系的。其目的是在不冒犯任何国家的情况下追求国家目标。外交是一种古老的程序，尽管其性质在上个世纪有所改变。外交的力量有限，因为大国之间存在根本分歧，而且民主国家的外交官对其角色缺乏确定性。

Diplomacy is the conduct of international relations by negotiation. Its purpose is the pursuit of national goals without offending any nation. Diplomacy is an old procedure, although it has changed in character in the last century. The power of diplomacy is limited because there are fundamental differences among the major powers and because diplomats in democratic countries are unsure of their roles.

民族国家诞生后的数百年间，权力平衡通过不断变换的联盟体系得以维持，确保任何单一国家或联盟都不会强于其他任何国家或联盟。这种多极权力平衡在19世纪初开始衰落，二战后，以美国和苏联为两极的两极体系取而代之。如今，权力平衡再次发生变化，但方向尚不明朗。

A balance of power was maintained for several hundred years after the creation of nation–states by a system of shifting alliances that ensured that no single state or coalition would become stronger than any other. This multipolar balance of power began to decline at the turn of the nineteenth century, and following World War II a bipolar system—with the United States and the Soviet Union as its poles—took its place. Today, the balance of power is again shifting, but it is not yet clear in what direction.

行政外交政策 由政府官僚机构做出的决定。

administrative foreign policy Decisions made by the government bureaucracy.

保证摧毁能力 一项旨在阻止其他国家攻击美国的政策，因为美国知道美国有能力摧毁任何攻击它的国家。

assured destruction capability A policy designed to deter others from attacking the United States because of the knowledge that the United States has the means to destroy any nation that attacks it.

遏制政策 是第二次世界大战后美国的外交政策，旨在遏制苏联的帝国主义目标。

containment American foreign policy in the period following World War II, attempting to contain what were perceived as the imperialist goals of the Soviet Union.

危机外交政策 当一个国家认为某种情况将标志着其关系的转折点时做出的紧急决定与另一个国家。危机决策是一般决策和行政决策的结合。

crisis foreign policy Urgent decisions made when one state feels that a situation will mark a turning point in its relationship with another state. Crisis decisions are a combination of general and administrative decisions.

缓和外交政策依赖于和平谈判而不是遏制。

détente Foreign policy dependent on peaceful negotiations rather than containment.

外交通过谈判来处理国际关系。

diplomacy The conduct of international relations by negotiation.

外交政策 目标旨在保护和促进国家独立、国家荣誉、国家安全和国家福祉。

foreign policy Goals intended to protect and promote national independence, national honor, national security, and national well-being.

一般外交政策 以政策声明和直接行动表达的决定。

general foreign policy Decisions expressed in policy statements and direct actions.

门罗主义 外交政策以警告欧洲国家不要介入拉丁美洲为幌子，因为拉丁美洲被认为是美国的势力范围。

Monroe Doctrine Foreign policy in the guise of a warning to the European states to stay out of Latin America, which was considered to be in the American sphere of influence.

权力一个国家利用其资源影响其他国家行为的能力。

power The capacity of a nation to use its resources in such a way as to affect the behavior of other nations.

现实主义 一种理论观点，基于政治的本质是权力斗争的假设。

realism A theoretical perspective based on the assumption that the essence of politics is the struggle for power.

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